JP
James E. Pinzker
A.G.P. / ALLIANCE GLOBAL PARTNERS
Charlotte, NC 28203
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CRD#: 2525439
JP
Professional summary
James Edward Pinzker, who also goes by James E Pinzker, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Pinzker
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) ROWDYDOW BBQ; NON INVESTMENT-RELATED; BBQ SALES; START DATE 2010; PASSIVE INVESTOR; CHICAGO, IL; 0 HRS/MONTH, 0 DURING TRADING HOURS.... (2) SAMBALATTE; NON INVESTMENT-RELATED; COFFEE SHOP; START DATE 2018; PASSIVE INVESTOR; LAS VEGAS, NV; 0 HRS/MONTH, 0 DURING TRADING HOURS.... (3) PINZKER AND ASSOCIATES LLC, 700 EAST BLVD. UNIT 3 CHARLOTTE NC 28203, DBA,OWNER,04/01/2024, ZERO HOURS, DBA SET UP TO DO BUSINESS IN TITLE ONLY
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Pinzker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Pinzker'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
April 16, 2024 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 700 East Blvd Unit 3, Charlotte, NC 28203RIA
BD
CRD#: 8361
Charlotte, NC
Current
April 16, 2024 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 700 East Blvd Unit 3, Charlotte, NC 28203RIA
BD
CRD#: 8361
Charlotte, NC
Past
July 22, 2022 - April 18, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Charlotte, NC
Past
December 16, 2015 - April 18, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
CHARLOTTE, NC
Past
December 11, 2015 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
CHARLOTTE, NC
Past
April 19, 2012 - December 16, 2015
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
CHICAGO, IL
Past
April 19, 2012 - December 16, 2015
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CHICAGO, IL
Past
April 13, 2006 - April 27, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
April 13, 2006 - April 27, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHICAGO, IL
Past
March 25, 1999 - April 25, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
December 11, 1998 - April 25, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
October 10, 1994 - December 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
RR
Alabama(4/23/2024)
RR
Arizona(4/16/2024)
IAR
Arizona(9/17/2024)
RR
California(4/16/2024)
IAR
California(9/5/2024)
RR
Colorado(4/16/2024)
RR
Connecticut(4/16/2024)
RR
Delaware(4/16/2024)
RR
Florida(4/22/2024)
IAR
Florida(9/6/2024)
RR
Georgia(4/16/2024)
RR
Illinois(4/22/2024)
IAR
Illinois(4/22/2024)
RR
Indiana(4/17/2024)
RR
Iowa(4/16/2024)
RR
Maryland(4/16/2024)
RR
Massachusetts(4/30/2024)
RR
Michigan(4/16/2024)
RR
Nebraska(4/16/2024)
RR
Nevada(4/16/2024)
RR
New Jersey(4/16/2024)
RR
New York(4/16/2024)
IAR
New York(9/5/2024)
RR
North Carolina(4/16/2024)
IAR
North Carolina(4/16/2024)
RR
Ohio(4/16/2024)
IAR
Ohio(6/20/2025)
RR
Oregon(4/16/2024)
RR
Pennsylvania(4/16/2024)
RR
South Carolina(4/16/2024)
IAR
South Carolina(4/16/2024)
RR
Virginia(4/16/2024)
Exams
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.
