Ross Gladstone

A.G.P. / ALLIANCE GLOBAL PARTNERS

Westport, CT 06880

Some features on this profile are disabled

CRD#: 4040175

Professional summary

Ross Gladstone, who also goes by Ross E Gladstone, Ross Evan Gladstone, Ross Gladstone, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Westport, Connecticut.

Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ross has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ross E Gladstone | Ross Evan Gladstone | Ross Gladstone

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.

NO NAME OF BUSINESS PROVIDED; NON-INVESTMENT RELATED; 34 TUBBS SPRING DR. WESTON, CT. 06883; SALES OF VINTAGE AXES; STARTED 2021; 5-20 HOURS/MONTHLY DEVOTED; RESTORING VINTAGE AXES AND THE SALE OF THE AXES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Gladstone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ross Gladstone's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2020 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: 88 Post Road West 2nd Floor, Westport, CT 06880

RIA

CRD#: 8361

Westport, CT

Current

March 12, 2021 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: 88 Post Road West 2nd Floor, Westport, CT 06880

RIA

CRD#: 8361

Westport, CT

Past

May 1, 2019 - July 10, 2020

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

RIA

CRD#: 154632

NEW YORK, NY

Past

March 20, 2019 - July 10, 2020

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

July 3, 2018 - March 11, 2019

MILLENNIAL ADVISERS, LLC.

RIA

CRD#: 170847

Westport, CT

Past

July 3, 2018 - March 11, 2019

ALLIED MILLENNIAL PARTNERS, LLC

CRD#: 16569

NEW YORK, NY

Past

April 2, 2018 - July 5, 2018

SPIRIT OF AMERICA MANAGEMENT CORP

RIA

CRD#: 110023

E Westport, CT

Past

May 23, 2014 - July 5, 2018

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

WESTPORT, CT

Past

October 9, 2012 - February 13, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FAIRFIELD, CT

Past

July 30, 2012 - February 13, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FAIRFIELD, CT

Past

February 17, 2011 - July 18, 2012

KOYOTE TRADING LLC

CRD#: 149672

NEW YORK, NY

Past

August 21, 2006 - July 27, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

CRD#: 139818

NEW YORK, NY

Past

April 24, 2006 - August 22, 2006

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

September 10, 2002 - May 23, 2003

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

January 2, 2000 - May 3, 2001

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, 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

CRD#: 8361 / SEC#: 801-70276, 8-25132

RIA

Registered Investment Advisory firm - SEC (6/15/2009 Approved)

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.

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

IAR

California
(9/5/2024)

Colorado
(9/9/2021)

IAR

Connecticut
(5/29/2020)

Connecticut
(3/15/2021)

Florida
(3/17/2021)

IAR

Florida
(9/6/2024)

New York
(5/18/2021)

IAR

New York
(9/8/2021)

IAR

South Carolina
(9/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/2/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/30/1999

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361 / SEC#: 801-70276, 8-25132

RIA

Registered Investment Advisory firm - SEC (6/15/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ross Gladstone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Gladstone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ross Gladstone's CRS (Customer Relationship Summary).

Certified licenses

Experience

A.G.P. / ALLIANCE GLOBAL PARTNERS

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

SPARTAN CAPITAL SECURITIES, LLC

MILLENNIAL ADVISERS, LLC.

ALLIED MILLENNIAL PARTNERS, LLC

SPIRIT OF AMERICA MANAGEMENT CORP

DAVID LERNER ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KOYOTE TRADING LLC

MADISON PROPRIETARY TRADING GROUP, LLC

G-2 TRADING,LLC

SCHONFELD SECURITIES, LLC

RUMSON CAPITAL, LLC

Primary Firm SEC Registration

A.G.P. / ALLIANCE GLOBAL PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2012

Series 63

Date: 1/7/2000

SIE

Date: 10/1/2018

Series 55

Date: 2/2/2000

Series 7

Date: 12/30/1999

FINRA

Nasdaq Stock Market

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

A.G.P. / ALLIANCE GLOBAL PARTNERS

TRUST BUT VERIFY

Similar Advisors