AY
Alexander V. Yelensky
A.G.P. / ALLIANCE GLOBAL PARTNERS
Westport, CT 06880
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CRD#: 2268950
AY
Professional summary
Alexander Vlad Yelensky, who also goes by Alex Vlad Yelensky, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Westport, Connecticut.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alexander has worked at 9 firms and has passed the Series 66, Series 63, Series 3, Series 57TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Vlad Yelensky
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.
1) K CAPITAL MARKETS LLC-CT, 106 HEMING WAY, STAMFORD, CT 06903; OWNER, NOT INVESTMENT RELATED, ESTABLISHED FOR TAX PURPOSES ; START 11/13/2006, TOTAL HRS MO. 1, DUTIES: PAYING BILLS & TAX PURPOSES ONLY 2. CAFE OOLALA, 2325 SUMMER ST, STAMFORD, CT 06905; CAFE OWNER, NOT INVESTMENT RELATED; START DATE: 02/14/2011; NO DUTIES; ZERO HOURS PER MONTH 3) USA WATER POLO, CWPA WATER POLO, 2124 MAINT ST. SUITE 240 HUNTINGTON BEACH CA 92648; REFEREE COLLEGE, HIGH SCHOOL AND CLUB GAMES; START DATE 3/15/2014, 10 HOURS PER MONTH DEVOTED TO BUSINESS DURING NON-SECURITIES TRADING HOURS, COMP RECEIVED $40 PER GAME. 4) KKS CORP DBA LIVE BETTER HOME CARE, 106 HEMING WAY, STAMFORD, CT 06903; NOT INVESTMENT RELATED; START DATE: 2015; 1 HR MO NON-TRADING HOURS FRANCHISE OWNER, NO DAILY RESPONSIBILITIES 5) A.G.P. CANADA, INVESTMENT RELATED; LOCATED IN CANADA; CORPORATION FOR CANADIAN REGISTRATIONS; Trader; START DATE 7-06-22; APPROXIMATELY 4 HOURS PER MONTH DEVOTED TO BUSINESS
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Vlad Yelensky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Vlad Yelensky'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 2, 2019 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 88 Post Road West 2nd Floor, Westport, CT 06880RIA
BD
CRD#: 8361
Westport, CT
Current
May 1, 2019 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 88 Post Road West 2nd Floor, Westport, CT 06880RIA
BD
CRD#: 8361
Westport, CT
Past
March 23, 2010 - May 23, 2019
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
NEW YORK, NY
Past
March 23, 2010 - May 23, 2019
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
November 20, 2006 - March 26, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
NEW YORK, NY
Past
March 5, 2004 - March 26, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
NEW YORK, NY
Past
November 23, 2001 - February 20, 2004
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
September 30, 1999 - December 19, 2001
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
February 21, 1996 - October 6, 1999
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
February 21, 1995 - February 20, 1996
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
August 25, 1992 - June 8, 1993
SOUTH RICHMOND SECURITIES, INC.
BD
CRD#: 14913
Past
August 13, 1992 - August 28, 1992
FIRST AMERICAN BILTMORE SECURITIES, INC.
BD
CRD#: 17585
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(5/1/2019)
IAR
California(5/2/2019)
RR
Connecticut(5/16/2019)
RR
Florida(5/1/2019)
IAR
Florida(9/5/2024)
RR
Maryland(5/1/2019)
RR
New Jersey(5/1/2019)
RR
New Mexico(5/1/2019)
RR
New York(5/1/2019)
IAR
New York(9/8/2021)
RR
Wisconsin(5/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 7/24/2019
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Westport, CT 06880TRUST BUT VERIFY
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