BD
Ben D. Dembin
A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
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CRD#: 2371539
BD
Professional summary
Ben David Dembin is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.
Ben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Ben has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view Ben David Dembin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ben David Dembin'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 15, 2019 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Current
May 15, 2019 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Past
August 26, 2010 - May 17, 2019
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
August 20, 2010 - May 17, 2019
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
Past
July 10, 2006 - August 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DELRAY BEACH, FL
Past
October 12, 2005 - August 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DELRAY BEACH, FL
Past
September 17, 2003 - September 30, 2005
WINDSOR STREET CAPITAL, LP
BD
CRD#: 34171
NEW YORK, NY
Past
November 26, 1999 - September 23, 2003
R.M. STARK & CO., INC.
BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past
August 30, 1999 - November 15, 1999
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
March 4, 1998 - July 28, 1999
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
November 7, 1994 - March 24, 1998
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
July 13, 1993 - December 1, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 13, 1993 - December 1, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
IAR
California(9/5/2024)
RR
Colorado(9/13/2022)
IAR
Connecticut(9/5/2024)
RR
Florida(5/15/2019)
IAR
Florida(5/28/2019)
RR
Georgia(1/17/2024)
RR
Hawaii(10/11/2024)
IAR
Illinois(9/6/2024)
RR
Maryland(5/15/2019)
RR
Missouri(1/4/2021)
RR
New Jersey(5/15/2019)
RR
New York(5/15/2019)
IAR
New York(9/5/2024)
RR
Oregon(9/13/2022)
RR
Virginia(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Boca Raton, FL 33431TRUST BUT VERIFY
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Contact information
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