SJ
Stephen E. Jones
A.G.P. / ALLIANCE GLOBAL PARTNERS
New York, NY 10022
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CRD#: 4390289
SJ
Professional summary
Stephen Edward Jones is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Stephen has worked at 3 firms and has passed the Series 65, Series 66, Series 3, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1- LNS PARTNERS; INVESTMENT REALTED; C/O STEPHEN JONES, 400 W 43RD ST. #215 NEW YORK, NY 10036; INVESTMENT; PARTNER; 1988; 0 HRS/MO; 0 HRS/MO DURING TRADING HOURS; SPEAK WITH MONEY MANAGERS AND KEEP TAX RECORDS. 2- CHS PROPERTIES LLC; NOT INVESTMENT RELATED; 400 W 43RD ST. #215 NEW YORK, NY 10036; REAL ESTATE; OWNER; 5 HRS/MO; 0 HRS/MO DURING SECURITIES TRADING HRS; OWNER OF THE BUILDING. 3 -JONES CAPITAL MGMT, INVESTMENT RELATED, 400 W 43RD ST. #215 NEW YORK, NY 10036, LLC FOR TAX AND ACCOUNTING PURPOSES,OWNER CEO,START DATE: 09/2013, 5 HOURS/MONTH, NONE DURING TRADING HOURS,MANAGE THE BUSINESS 4- LATSKY DANCE, INC. NOT INVESTMENT RELATED 400 W 43RD ST #215 NEW YORK, NY 10036 DANCE COMPANY, BOARD MEMBER START 4/1/2015 3 HRS PER MONTH ZERO DURING TRADING HRS 5 - GOWANUS PARK LLC REAL ESTATE INVESTMENT, INVESTMENT LLC MEMBER START NOV 2016 ZERO HRS PER MONTH 6- JONES BROTHERS PARTNERS. INVESTMENT-RELATED. 400 W. 43RD ST. #21S, NEW YORK, NY 10036. PARTNER. 0-2 HRS PER MONTH/DURING TRADING HRS. ESTABLISHED FOR PURPOSES OF INVESTING FAMILY ASSETS
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Edward Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Edward Jones'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
July 21, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 590 Madison Avenue 28th Floor, New York, NY 10022RIA
BD
CRD#: 8361
New York, NY
Current
July 21, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 590 Madison Avenue 28th Floor, New York, NY 10022RIA
BD
CRD#: 8361
New York, NY
Past
May 4, 2005 - July 22, 2022
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
January 21, 2002 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
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
California(7/21/2022)
IAR
California(9/5/2024)
RR
Colorado(7/21/2022)
RR
Connecticut(7/22/2022)
IAR
Connecticut(9/5/2024)
RR
Florida(7/21/2022)
IAR
Florida(9/6/2024)
RR
Illinois(7/21/2022)
IAR
Illinois(12/2/2024)
RR
Kentucky(7/21/2022)
RR
Massachusetts(7/21/2022)
RR
New Jersey(7/21/2022)
RR
New York(7/21/2022)
IAR
New York(7/21/2022)
RR
North Carolina(7/25/2022)
RR
Pennsylvania(7/21/2022)
RR
Texas(7/21/2022)
IAR
Texas(7/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
