Craig S. Mcdonough
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Sean Mcdonough, who also goes by Craig Sean Mcdonough Mr., Creighton Mcdonough, Creighton Sean Mcdonough, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1997. Craig had worked at 14 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2024 - March 18, 2025
A.G.P. / ALLIANCE GLOBAL PARTNERS
May 16, 2019 - October 13, 2022
COWEN AND COMPANY
May 16, 2017 - February 11, 2019
FORGE SECURITIES LLC
March 30, 2016 - May 5, 2017
CANACCORD GENUITY LLC
April 20, 2015 - November 3, 2015
MAINFIRST SECURITIES US INC.
June 4, 2009 - April 9, 2014
RAYMOND JAMES & ASSOCIATES, INC.
July 10, 2007 - November 19, 2008
HSBC SECURITIES (USA) INC.
June 7, 2006 - July 13, 2007
KEPLER CAPITAL MARKETS, INC.
May 23, 2003 - June 12, 2006
JULIUS BAER SECURITIES INC.
December 11, 1998 - February 14, 2003
COMMERZBANK CAPITAL MARKETS CORP.
June 29, 1998 - October 9, 1998
UBS SECURITIES LLC
September 3, 1997 - October 21, 1997
SBC WARBURG, INC.
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 21, 1997 - July 24, 1997
BNY MELLON SECURITIES CORPORATION
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/20/2007
Limited Representative-Equity Trader ExamCurrent Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
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.
