EP
Elias S. Pritsoulis
A.G.P. / ALLIANCE GLOBAL PARTNERS
New York, NY 10022
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CRD#: 2568434
EP
Professional summary
Elias Stephen Pritsoulis, who also goes by Lee Stephen Pritsoulis, Lee Pritsoulis, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in New York, New York.
Elias is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Elias has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Stephen Pritsoulis | Lee Pritsoulis
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.
Ventract, not investment-related; 25 Seir Hill Rd, Norwalk, CT; online construction bidding site; Director New Business Opportunities & stockholder (private); 2015 start date; 8-12 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Elias Stephen Pritsoulis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elias Stephen Pritsoulis'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
June 11, 2020 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 590 Madison Avenue 28th Floor, New York, NY 10022RIA
BD
CRD#: 8361
New York, NY
Current
April 2, 2020 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 590 Madison Avenue 28th Floor, New York, NY 10022RIA
BD
CRD#: 8361
New York, NY
Past
November 6, 2013 - April 1, 2020
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
September 16, 2004 - November 6, 2013
PETERSEN INVESTMENTS, INC.
BD
CRD#: 38537
NEW YORK, NY
Past
July 30, 2002 - September 24, 2004
DILLON SCOTT SECURITIES, INC.
BD
CRD#: 118755
SAN FRANCISCO, CA
Past
January 25, 2001 - July 19, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
August 27, 1998 - December 12, 2000
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
July 30, 1996 - September 9, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
November 17, 1995 - August 12, 1996
AMERICORP SECURITIES, INC.
BD
CRD#: 30405
NEW YORK, NY
Past
June 29, 1995 - October 31, 1995
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
January 30, 1995 - June 1, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
December 5, 1994 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
BD
CRD#: 14913
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(4/2/2020)
RR
California(4/2/2020)
RR
Colorado(2/12/2025)
RR
Connecticut(4/6/2020)
IAR
Connecticut(6/11/2020)
RR
Florida(4/2/2020)
IAR
Florida(9/6/2024)
RR
Georgia(4/2/2020)
RR
Illinois(4/2/2020)
RR
Massachusetts(4/2/2020)
IAR
Massachusetts(5/29/2025)
RR
Minnesota(10/11/2022)
RR
New Jersey(4/2/2020)
RR
New York(4/2/2020)
IAR
New York(9/8/2021)
RR
North Carolina(4/2/2020)
RR
Ohio(4/2/2020)
RR
Pennsylvania(4/2/2020)
RR
Texas(4/2/2020)
IAR
Texas(6/11/2020)
RR
Virginia(4/2/2020)
RR
Washington(4/9/2021)
RR
West Virginia(4/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
