AH
Alejandro J. Hernandez Baduy
A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
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CRD#: 2558522
AH
Professional summary
Alejandro Jose Hernandez Baduy, who also goes by Alejandro J Hernandez, Alejandro Jose Hernandez, Alex Hernandez, Alejandro Hernandez Baduy, Alejandro J Hernandez-baduy, Alejandro Jose Hernandez-baduy, is a registered financial professional currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.
Alejandro is registered as a RR (Registered Representative) and started their career in finance in 1994. Alejandro has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alejandro J Hernandez | Alejandro Jose Hernandez | Alex Hernandez | Alejandro Hernandez Baduy | Alejandro J Hernandez-Baduy | Alejandro Jose Hernandez-Baduy
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 Alejandro Jose Hernandez Baduy'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
January 20, 2022 - 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
September 28, 2015 - February 11, 2022
AEGIS CAPITAL CORP.
BD
CRD#: 15007
BOCA RATON, FL
Past
December 15, 2011 - September 11, 2015
VECTORGLOBAL WMG
BD
CRD#: 32396
MIAMI, FL
Past
December 2, 2010 - December 14, 2011
ITA FINANCIAL SERVICES, LLC
BD
CRD#: 38649
MIAMI, FL
Past
November 9, 2009 - December 1, 2010
STATETRUST INVESTMENTS INC.
BD
CRD#: 104651
BOCA RATON, FL
Past
June 26, 2009 - November 9, 2009
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
MIAMI, FL
Past
May 9, 2008 - June 4, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
FORT LAUDERDALE, FL
Past
January 31, 2008 - July 29, 2008
K.W. BROWN INVESTMENTS
BD
CRD#: 16492
DELRAY BEACH, FL
Past
December 4, 2003 - August 22, 2005
PORTFOLIO RESOURCES GROUP, INC.
BD
CRD#: 31155
CORAL GABLES, FL
Past
April 10, 2001 - July 9, 2003
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
CORAL GABLES, FL
Past
March 16, 2001 - July 9, 2003
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 27, 1997 - March 15, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 22, 1994 - May 5, 1997
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
BD
CRD#: 29771
MIAMI, FL
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
Florida(1/21/2022)
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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Boca Raton, FL 33431TRUST BUT VERIFY
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