PM
Peter J. Murphy
A.G.P. / ALLIANCE GLOBAL PARTNERS
New York, NY 10005
CRD#: 3095080
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PM
Peter Joseph MurphyA.G.P. / ALLIANCE GLOBAL PARTNERS
Professional summary
Peter Joseph Murphy is a registered financial professional currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1998. Peter has worked at 9 firms and has passed the Series 65, Series 63, Series 22TO, Series 52TO, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Peter Joseph Murphy'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 10, 2026 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 40 Wall Street, New York, NY 10005RIA
BD
CRD#: 8361
New York, NY
Past
January 27, 2020 - June 12, 2026
BREAN CAPITAL, LLC
BD
CRD#: 23723
SUMMIT, NJ
Past
January 8, 2018 - January 27, 2020
OLDEN LANE SECURITIES, LLC
BD
CRD#: 173847
Summit, NJ
Past
September 7, 2017 - November 28, 2017
BREAN CAPITAL, LLC
BD
CRD#: 23723
NEW YORK, NY
Past
September 17, 2013 - March 13, 2017
PERSHING LLC
BD
CRD#: 7560
NEW YORK, NY
Past
September 6, 2012 - March 13, 2017
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
Past
June 16, 2006 - July 19, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
WEEHAWKEN, NJ
Past
April 19, 2004 - June 28, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
April 5, 2004 - June 28, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 1, 2003 - March 10, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 1, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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.
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
Alaska(6/10/2026)
RR
Arizona(6/10/2026)
RR
Arkansas(6/10/2026)
RR
California(6/10/2026)
RR
Colorado(6/10/2026)
RR
Connecticut(6/10/2026)
RR
Delaware(6/11/2026)
RR
District of Columbia(6/10/2026)
RR
Florida(6/10/2026)
RR
Georgia(6/10/2026)
RR
Idaho(6/10/2026)
RR
Illinois(6/15/2026)
RR
Iowa(6/10/2026)
RR
Kansas(6/10/2026)
RR
Kentucky(6/10/2026)
RR
Louisiana(6/10/2026)
RR
Maine(6/10/2026)
RR
Maryland(6/10/2026)
RR
Massachusetts(6/11/2026)
RR
Michigan(6/10/2026)
RR
Minnesota(6/15/2026)
RR
Mississippi(6/10/2026)
RR
Missouri(6/10/2026)
RR
Montana(6/10/2026)
RR
Nebraska(6/10/2026)
RR
Nevada(6/10/2026)
RR
New Hampshire(6/10/2026)
RR
New Jersey(6/10/2026)
RR
New Mexico(6/10/2026)
RR
New York(6/10/2026)
RR
North Carolina(6/10/2026)
RR
North Dakota(6/10/2026)
RR
Ohio(6/10/2026)
RR
Oklahoma(6/15/2026)
RR
Oregon(6/10/2026)
RR
Pennsylvania(6/10/2026)
RR
Puerto Rico(6/10/2026)
RR
South Carolina(6/10/2026)
RR
South Dakota(6/10/2026)
RR
Tennessee(6/10/2026)
RR
Texas(6/10/2026)
RR
Utah(6/11/2026)
RR
Vermont(6/10/2026)
RR
Virginia(6/10/2026)
RR
Washington(6/10/2026)
RR
West Virginia(6/10/2026)
RR
Wisconsin(6/10/2026)
RR
Wyoming(6/10/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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 | 18 |
| 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.
