HW
Hillary J. Wertlieb
A.G.P. / ALLIANCE GLOBAL PARTNERS
Lynbrrok, NY 11563
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CRD#: 2239224
HW
Professional summary
Hillary Joy Wertlieb is a registered financial professional currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Lynbrrok, New York.
Hillary is registered as a RR (Registered Representative) and started their career in finance in 1992. Hillary has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Hillary Joy Wertlieb's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 30, 2025 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 50 Hempstead Avenue Suite C, Lynbrrok, NY 11563RIA
BD
CRD#: 8361
Lynbrrok, NY
Past
October 11, 2024 - June 3, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Lynbrook, NY
Past
June 1, 2018 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Lynbrook, NY
Past
October 3, 2016 - June 7, 2018
CETERA ADVISORS LLC
BD
CRD#: 10299
LYNBROOK, NY
Past
August 5, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNBROOK, NY
Past
June 25, 2004 - August 8, 2005
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 29, 2002 - June 29, 2004
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
February 16, 2001 - May 13, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
December 9, 1992 - March 7, 2001
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
November 20, 1992 - December 12, 1992
ROBERT TODD FINANCIAL CORP.
BD
CRD#: 7423
NEW YORK, NY
Past
September 17, 1992 - October 23, 1992
J. GREGORY & COMPANY, INC.
BD
CRD#: 14892
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/30/2025)
RR
California(5/30/2025)
RR
Colorado(5/30/2025)
RR
Connecticut(5/30/2025)
RR
Florida(7/14/2025)
RR
Georgia(5/30/2025)
RR
Maryland(5/30/2025)
RR
Massachusetts(5/30/2025)
RR
Michigan(5/30/2025)
RR
Missouri(5/30/2025)
RR
New Hampshire(5/30/2025)
RR
New Jersey(7/9/2025)
RR
New York(5/30/2025)
RR
North Carolina(6/30/2025)
RR
Ohio(5/30/2025)
RR
Oregon(6/4/2025)
RR
Pennsylvania(5/30/2025)
RR
Rhode Island(6/10/2025)
RR
South Carolina(5/30/2025)
RR
Texas(5/30/2025)
RR
Vermont(5/30/2025)
RR
Virginia(5/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
