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RH

Ronald J. Holtz

A.G.P. / ALLIANCE GLOBAL PARTNERS
Westport, CT 06880
Some features on this profile are disabled
CRD#: 2663773
RH

Professional summary

Ronald J Holtz, who also goes by Ronald Jack Holtz, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Westport, Connecticut.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Ronald has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ronald Jack Holtz

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald J Holtz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ronald J Holtz's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 24, 2021 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: 88 Post Road West 2nd Floor, Westport, CT 06880
RIA
BD
CRD#: 8361
Westport, CT
Current

November 24, 2021 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: 88 Post Road West 2nd Floor, Westport, CT 06880
RIA
BD
CRD#: 8361
Westport, CT
Past

September 28, 2018 - November 29, 2021

EDWARD JONES

RIA
CRD#: 250
NORWALK, CT
Past

September 28, 2018 - November 29, 2021

EDWARD JONES

BD
CRD#: 250
NORWALK, CT
Past

April 10, 2017 - July 6, 2018

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
STAMFORD, CT
Past

April 10, 2017 - July 6, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
STAMFORD, CT
Past

October 7, 2015 - May 2, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
MONROE, CT
Past

October 7, 2015 - May 2, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
MONROE, CT
Past

January 23, 2013 - October 2, 2015

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
MONROE, CT
Past

January 14, 2013 - October 2, 2015

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
MONROE, CT
Past

June 22, 2011 - January 3, 2013

GILFORD FINANCIAL CORP.

RIA
CRD#: 126593
NEW YORK, NY
Past

March 15, 2011 - January 3, 2013

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
MORRISTOWN, NJ
Past

May 21, 2010 - July 19, 2010

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
NEW YORK, NY
Past

May 17, 2010 - July 19, 2010

CHICAGO INVESTMENT GROUP ADVISORS, LLC

RIA
CRD#: 148188
CHICAGO, IL
Past

May 29, 2007 - June 10, 2010

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 29, 2007 - June 10, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 3, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
NEW YORK, NY
Past

September 27, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
NEW YORK, NY
Past

March 2, 2004 - October 5, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
COLUMBUS, OH
Past

February 27, 2004 - October 5, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
COLUMBUS, OH
Past

June 19, 2002 - March 1, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
COLUMBUS, OH
Past

October 23, 1995 - March 1, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
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
Connecticut
(11/24/2021)
IAR
Connecticut
(11/24/2021)
RR
New Jersey
(11/24/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/4/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/24/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A.G.P. PART 2A DISCLOSURE BROCHURE (10/30/2025)
A.G.P. WRAP FEE PROGRAM BROCHURE (10/30/2025)

Direct owners and executive officers

NamePositionCRD#
ALLIANCE GLOBAL HOLDINGS, INC.HOLDING COMPANY
GAMBARDELLA, RAFFAELECOO/CHIEF RISK OFFICER2448073
HIGGINS, THOMAS JOSEPHPRINCIPAL OPERATIONS OFFICER1477505
KLEIN, CRAIG ERINCFO, PRINCIPAL FINANCIAL OFFICER3253836
LAURIELLO, ANTHONY JOSEPHMUNICIPAL SECURITIES PRINCIPAL1086881
MICHALS, PHILLIP WILLIAMCHIEF EXECUTIVE OFFICER2414124
VENEZIA, JOHN JOSEPHCHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA2737135

Regulatory assets under management

Total Number of Accounts6,959
AUM (Assets Under Management)$ 2,300,125,872

Disclosures

Regulatory Event15
Arbitration3

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

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361Westport, CT 06880

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Contact information

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