Melvin J. Loeser
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.
Melvin Jack Loeser was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1970. Melvin had worked at 21 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, Series 79TO, SIE, PC, Series 000, Series 1, Series 9, Series 10, Series 4, Series 24, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2021 - January 3, 2024
A.G.P. / ALLIANCE GLOBAL PARTNERS
March 19, 2019 - January 3, 2024
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 26, 2016 - March 14, 2019
EMPIRE ASSET MANAGEMENT COMPANY
November 17, 2008 - July 26, 2016
BISHOP, ROSEN & CO., INC.
March 6, 2007 - November 18, 2008
DOMINICK & DICKERMAN LLC
March 5, 2007 - November 18, 2008
DOMINICK & DICKERMAN LLC
January 3, 2007 - March 12, 2007
CAPITAL GROWTH FINANCIAL, LLC
September 20, 2005 - March 12, 2007
CAPITAL GROWTH FINANCIAL, LLC
July 23, 1998 - September 20, 2005
BISHOP, ROSEN & CO., INC.
September 23, 1997 - July 9, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1994 - September 11, 1997
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1992 - July 14, 1994
JANNEY MONTGOMERY SCOTT LLC
January 15, 1992 - August 11, 1992
WELLS FARGO CLEARING SERVICES, LLC
August 7, 1989 - May 11, 1992
M.J. LOESER & CO., INC.
January 28, 1988 - August 14, 1989
FINANCIAL SQUARE PARTNERS
June 19, 1979 - January 22, 1988
J.P. MORGAN SECURITIES LLC
February 6, 1979 - July 22, 1979
BECKER PARIBAS INCORPORATED
September 10, 1975 - February 16, 1979
CIBC WORLD MARKETS CORP.
December 30, 1974 - February 16, 1979
EDWARDS & HANLY
September 21, 1973 - January 26, 1975
HAYDEN STONE INC.
July 12, 1973 - October 12, 1973
SHIELDS & COMPANY INCORPORATED
October 14, 1971 - December 27, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
March 2, 1971 - October 21, 1971
STEINER, ROUSE & CO., INC.
December 14, 1970 - March 23, 1971
JOSEPH TEPEDINO
August 31, 1970 - February 26, 1974
S B LEVY & CO INC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 1/7/1983
AMEX Put and Call ExamSeries 000
Date: 1/28/1971
General Securities Principal ExaminationSeries 1
Date: 6/11/1969
Registered Representative ExaminationSeries 8
Date: 8/18/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 8/13/1970
General Securities Principal ExaminationCurrent 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.
