MM
Mike J. Masunas
A.G.P. / ALLIANCE GLOBAL PARTNERS
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 2359328
MM
Professional summary
Mike John Masunas, who also goes by Michael John Masunas, Michael Masunas, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Scottsdale, Arizona.
Mike is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Mike has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael John Masunas | Michael Masunas
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) MASUNAS SPORTS COMPLEX, LLC; NOT INVESTMENT RELATED; 4105 E. Blue Ridge PLACE, Chandler, AZ 85249; TRAINing ATHLETES SPEED AND AGILITY SKILLS, SWING ANALYSIS, NUTRITION; OWNER/LLC member; START SEP-2013; 4 HOURS PER MONTH DEVOTED TO OTHER BUSINESS, NONE DURING TRADING HOURS. 2) MOORE MASUNAS AND MOORE; NOT INVESTMENT RELATED; 135 S. STRATFORD DRIVE, TUCSON, AZ 85716; LAW FIRM, UNDERTAKEs GENERAL OFFICE ADMINiSTRATION AS NEEDED; START OCT-2003; 2 HOURS PER MONTH DEVOTED TO OTHER BUSINESS, NONE DURING TRADING HOURS. 3) The Eco Drone, LLC, not investment-related, located in Chandler, AZ, spray cleaning via drones; Co-founder and co-owner, expected start date March 2025; 60 hours per month, none during securities trading hours, will be involved in sales.
CRS (Client Relationship Summary) - RIA
Click below to view Mike John Masunas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mike John Masunas'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
September 18, 2014 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 9375 E. Shea Blvd, Suite 100, Scottsdale, AZ 85260RIA
BD
CRD#: 8361
Scottsdale, AZ
Current
September 11, 2014 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 9375 E. Shea Blvd, Suite 100, Scottsdale, AZ 85260RIA
BD
CRD#: 8361
Scottsdale, AZ
Past
June 10, 2013 - September 19, 2014
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TUCSON, AZ
Past
October 28, 2011 - September 19, 2014
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
TUCSON, AZ
Past
September 1, 2006 - November 16, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
BD
CRD#: 8361
SCOTTSDALE, AZ
Past
May 30, 1995 - September 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
TUCSON, AZ
Past
August 13, 1994 - May 12, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 13, 1994 - July 11, 1994
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
February 1, 1994 - May 11, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 1, 1994 - May 11, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
August 11, 1993 - December 13, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arizona(9/24/2014)
IAR
Arizona(9/24/2014)
RR
Arkansas(9/25/2014)
RR
California(9/11/2014)
IAR
California(9/5/2024)
RR
Colorado(9/11/2014)
RR
Connecticut(9/25/2014)
RR
Georgia(9/11/2014)
RR
Illinois(9/11/2014)
RR
Indiana(9/29/2014)
RR
Iowa(9/25/2014)
RR
Kansas(3/6/2018)
RR
Kentucky(10/3/2014)
RR
Louisiana(9/25/2014)
RR
Maryland(9/29/2014)
RR
Michigan(9/25/2014)
RR
Minnesota(9/11/2014)
RR
Missouri(10/15/2014)
RR
Nevada(10/2/2014)
RR
New Mexico(9/26/2014)
RR
New York(3/30/2017)
IAR
New York(9/5/2024)
RR
Ohio(9/11/2014)
RR
Oklahoma(9/26/2014)
RR
Oregon(3/1/2018)
RR
Pennsylvania(9/11/2014)
RR
South Dakota(9/24/2014)
IAR
Texas(9/18/2014)
RR
Texas(2/4/2015)
RR
Utah(10/10/2014)
RR
Virginia(9/11/2014)
RR
Washington(9/26/2014)
RR
Wisconsin(9/24/2014)
RR
Wyoming(5/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
