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Clinton O. Mayer

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CRD#: 323915
CM

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.

Clinton O Mayer III, who also goes by Clinton O Mayer, was a registered financial professional .

Clinton is a previously registered financial professional and started their career in finance in 1961. Clinton had worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clinton O Mayer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2018 - June 14, 2023

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD
CRD#: 8361
New York, NY
Past

January 15, 2016 - October 15, 2018

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

January 4, 1995 - January 15, 2016

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY
Past

November 16, 1992 - January 20, 1995

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845
NEW YORK, NY
Past

December 6, 1976 - September 1, 1992

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 6, 1976 - December 15, 1976

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

August 3, 1961 - February 6, 1976

DREXEL BURNHAM & CO. INCORPORATED

BD
CRD#: 116

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 8/3/1961
Registered Representative Examination

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#: 8361

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