RF
Roger D. Follis
A.G.P. / ALLIANCE GLOBAL PARTNERS
Washington, DC
Some features on this profile are disabled
CRD#: 2653439
RF
Professional summary
Roger Daniel Follis is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Washington, District Of Columbia.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Roger has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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.
FOLLIS-HARTLEY GROUP, INVESTMENT-RELATED, 1701 PENNSYLVANIA AVE, NW SUITE 216, WASHINGTON DC 20006, MARKETING NAME FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT, START DATE OCT 2020.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Daniel Follis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Daniel Follis'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
February 23, 2024 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #2: 1701 Pennsylvania Ave Suite 220, Washington, DC 20006RIA
BD
CRD#: 8361
Washington, DC
Current
February 23, 2024 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1701 Pennsylvania Ave Suite 220, Washington, DC 20006RIA
BD
CRD#: 8361
Washington, DC
Past
July 28, 2022 - March 4, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Washington, DC
Past
October 9, 2020 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Washington, DC
Past
October 9, 2020 - March 4, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Washington, DC
Past
February 1, 2013 - October 13, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WASHINGTON, DC
Past
February 1, 2013 - October 13, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WASHINGTON, DC
Past
January 2, 2009 - February 4, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAN FRANCISCO, CA
Past
March 7, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
SAN FRANCISCO, CA
Past
November 12, 2002 - February 4, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SAN FRANCISCO, CA
Past
January 1, 2001 - January 9, 2003
CRYSTAL ASSET MANAGEMENT, LLC
RIA
CRD#: 111067
SAN FRANCISCO, CA
Past
January 28, 1999 - December 14, 2000
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
June 20, 1997 - February 12, 1999
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 5, 1995 - June 27, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
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(5/14/2024)
RR
California(2/23/2024)
RR
Colorado(4/11/2024)
RR
Connecticut(4/18/2024)
RR
District of Columbia(2/23/2024)
IAR
District of Columbia(4/17/2024)
RR
Florida(2/23/2024)
RR
Georgia(2/23/2024)
RR
Indiana(4/9/2024)
RR
Maryland(2/23/2024)
RR
Michigan(3/28/2024)
RR
New Hampshire(2/23/2024)
RR
New Jersey(2/23/2024)
RR
New Mexico(2/23/2024)
RR
New York(2/23/2024)
RR
Ohio(2/23/2024)
RR
Oklahoma(2/26/2024)
RR
Oregon(4/17/2024)
RR
Pennsylvania(2/23/2024)
RR
South Carolina(2/23/2024)
IAR
Texas(2/23/2024)
RR
Texas(5/13/2024)
RR
Virginia(2/23/2024)
RR
Washington(2/23/2024)
RR
Wisconsin(4/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
