Thomas M. Dowling
A.G.P. / ALLIANCE GLOBAL PARTNERS
Hilton Head, SC 29928
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CRD#: 2573963
Professional summary
Thomas M Dowling, CFP®, CIMA® is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Hilton Head, South Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1) TKD MANAGEMENT.,1000 WILLIAM HILTON PKWY SUITE C5 HILTON HEAD, SC 29928,NOT INVESTMENT RELATED; ESTABLISHED FOR TAX PURPOSES, NO DUTIES, START DATE 1/1/04, 1 HOUR PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 2) Alliance Global Partners of the Lowcountry, investment-related financial services, 1000 William Hilton Parkway, Suite C5, Hilton Head, SC 29928, Head of Wealth Management, full-time during trading hours. 3) Mark Up Equity Ventures, Inc., not investment-related, 19 Baynard Cove Road, Hilton Head, SC, accounting services, owner, President, established Jan 1, 2025, approximately 4 hours/mo, during securities trading hours, provide accounting services.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas M Dowling's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas M Dowling'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®
CFP®
Start date: 2015
Experience
Current
June 30, 2021 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1000 William Hilton Pkwy Suite C5, Hilton Head, SC 29928RIA
BD
CRD#: 8361
Hilton Head, SC
Current
June 30, 2021 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1000 William Hilton Pkwy Suite C5, Hilton Head, SC 29928RIA
BD
CRD#: 8361
Hilton Head, SC
Past
June 27, 2017 - July 21, 2021
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
HILTON HEAD ISLAND, SC
Past
June 27, 2017 - July 21, 2021
AEGIS CAPITAL CORP.
BD
CRD#: 15007
HILTON HEAD ISLAND, SC
Past
March 15, 2017 - June 30, 2017
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BLUFFTON, SC
Past
March 15, 2017 - June 30, 2017
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BLUFFTON, SC
Past
March 24, 2010 - March 16, 2017
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
Hilton Head Island, SC
Past
March 24, 2010 - March 16, 2017
AEGIS CAPITAL CORP.
BD
CRD#: 15007
Hilton Head Island, SC
Past
September 29, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
NEW YORK, NY
Past
April 12, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
NEW YORK, NY
Past
May 6, 1999 - April 13, 2005
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 19, 1995 - May 11, 1999
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
January 3, 1995 - November 10, 1995
A. R. BARON & CO., INC.
BD
CRD#: 29285
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(6/30/2021)
RR
Arizona(6/30/2021)
RR
California(6/30/2021)
IAR
California(9/5/2024)
RR
Colorado(6/30/2021)
RR
Connecticut(6/30/2021)
RR
Delaware(6/30/2021)
RR
Florida(6/30/2021)
IAR
Florida(9/6/2024)
RR
Georgia(6/30/2021)
RR
Illinois(7/15/2021)
IAR
Illinois(12/2/2024)
RR
Indiana(6/20/2023)
RR
Kentucky(6/20/2023)
RR
Maryland(6/30/2021)
RR
Massachusetts(6/30/2021)
RR
Michigan(6/30/2021)
RR
Nebraska(6/30/2021)
RR
Nevada(6/30/2021)
RR
New Jersey(6/30/2021)
IAR
New Jersey(9/5/2024)
RR
New York(6/30/2021)
IAR
New York(9/5/2024)
RR
North Carolina(7/22/2021)
RR
Ohio(6/30/2021)
RR
Oregon(6/30/2021)
RR
Pennsylvania(6/30/2021)
RR
South Carolina(6/30/2021)
IAR
South Carolina(6/30/2021)
RR
Texas(6/30/2021)
IAR
Texas(6/30/2021)
RR
Virginia(6/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
