ES
Eric D. Steingruebner
A.G.P. / ALLIANCE GLOBAL PARTNERS
Newport Beach, CA 92660
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CRD#: 3258619
ES
Professional summary
Eric Daniel Steingruebner, CFP®, who also goes by Eric Steingruebner, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Newport Beach, California.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Steingruebner
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.
1. SEVEN C'S FAMILY, LLC; ADDRESS: 1027 KENNETT WAY, WEST CHESTER, PA 19380. NATURE OF BUSINESS: MANAGEMENT OF FAMILY'S INVESTMENT ASSETS. INVESTMENT RELATED. POSITION: LLC MANAGER--NO COMPENSATION. START: DEC-2012. ZERO TO MINIMAL HOURS/MONTH DEVOTED TO BUSINESS; MINIMAL HOURS DURING SECURITIES TRADING HOURS. 2. GST Remainder Trust U/W E. Chiusano; 1027 KENNETT WAY, WEST CHESTER, PA 19380; Trustee, Investment-related; Nov-2016; minimal hours per month and during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Daniel Steingruebner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Daniel Steingruebner'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®
Experience
Current
July 23, 2009 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1201 Dove Street Suite 200, Newport Beach, CA 92660RIA
BD
CRD#: 8361
Newport Beach, CA
Current
July 6, 2005 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1201 Dove Street Suite 200, Newport Beach, CA 92660RIA
BD
CRD#: 8361
Newport Beach, CA
Past
July 20, 2001 - July 5, 2005
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
June 29, 2000 - June 5, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 17, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 17, 1999 - June 5, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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.
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
Alabama(10/27/2010)
RR
Alaska(6/5/2007)
RR
Arizona(1/4/2006)
IAR
Arizona(9/17/2024)
RR
Arkansas(10/27/2010)
RR
California(7/6/2005)
IAR
California(7/23/2009)
RR
Colorado(7/20/2005)
RR
Connecticut(7/6/2005)
RR
Delaware(10/27/2010)
RR
District of Columbia(10/27/2010)
RR
Florida(7/20/2005)
RR
Georgia(7/20/2005)
RR
Hawaii(1/17/2006)
RR
Idaho(7/20/2005)
RR
Illinois(1/4/2006)
IAR
Illinois(9/5/2024)
RR
Indiana(1/15/2008)
RR
Iowa(1/19/2007)
RR
Kansas(2/29/2008)
RR
Kentucky(10/27/2010)
RR
Louisiana(11/12/2009)
RR
Maine(10/27/2010)
RR
Maryland(1/4/2006)
RR
Massachusetts(7/20/2005)
RR
Michigan(1/4/2006)
RR
Minnesota(1/4/2006)
RR
Mississippi(10/27/2010)
RR
Missouri(7/20/2005)
RR
Montana(10/27/2010)
RR
Nebraska(10/27/2010)
RR
Nevada(1/19/2007)
RR
New Hampshire(10/27/2010)
RR
New Jersey(7/20/2005)
RR
New Mexico(1/15/2008)
RR
New York(7/6/2005)
RR
North Carolina(9/15/2005)
RR
North Dakota(10/27/2010)
RR
Ohio(2/8/2006)
RR
Oklahoma(5/1/2009)
RR
Oregon(7/20/2005)
RR
Pennsylvania(7/20/2005)
RR
Rhode Island(1/4/2006)
RR
South Carolina(1/4/2006)
RR
South Dakota(10/27/2010)
RR
Tennessee(1/13/2022)
RR
Texas(5/8/2006)
IAR
Texas(9/5/2024)
RR
Utah(8/16/2007)
RR
Vermont(6/11/2009)
RR
Virginia(7/20/2005)
RR
Washington(1/19/2007)
RR
West Virginia(1/7/2009)
RR
Wisconsin(8/17/2009)
RR
Wyoming(10/27/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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 | 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.
