AS
Aditya K. Saraogi
A.G.P. / ALLIANCE GLOBAL PARTNERS
Miami, FL
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CRD#: 4439734
AS
Professional summary
Aditya Kumar Saraogi is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Miami, Florida.
Aditya is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Aditya has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 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.
Real Estate Ownership; Lot/Land; Orlando; Not Investment Related; June 2008. Business Ownership; Choice One Financial LLC; Preident; Set up this company to pay for business expenses for tax reasons; Miami, FL 33131; Not Investment Related; June 2009; 1-9 hours per month; 0 during trading hours. Outside Employment; IFB Agro Industries Limited; Consulatant; Consulting; Kolkata 700107, India; Not Investment Related; Aug 2017; 10-19 hours per month; 1-9 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Aditya Kumar Saraogi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aditya Kumar Saraogi'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
November 11, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
RIA
BD
CRD#: 8361
Miami, FL
Current
November 11, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Past
September 1, 2015 - November 11, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Hallandale Beach, FL
Past
August 14, 2015 - November 11, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Hallandale Beach, FL
Past
July 10, 2009 - August 14, 2015
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
MIAMI, FL
Past
January 24, 2003 - July 24, 2009
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
MIAMI, FL
Past
January 23, 2002 - February 10, 2003
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
January 14, 2002 - April 3, 2002
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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
Arizona(11/11/2022)
RR
California(11/11/2022)
RR
Connecticut(11/11/2022)
RR
District of Columbia(11/11/2022)
RR
Florida(11/11/2022)
IAR
Florida(11/14/2022)
RR
Georgia(11/11/2022)
RR
Illinois(11/30/2022)
RR
Indiana(11/14/2022)
RR
Kentucky(11/11/2022)
RR
Maine(11/11/2022)
RR
Maryland(11/11/2022)
RR
Massachusetts(11/11/2022)
RR
Michigan(11/11/2022)
RR
Minnesota(11/11/2022)
RR
Nevada(11/11/2022)
RR
New Jersey(11/11/2022)
RR
New York(11/11/2022)
IAR
New York(9/4/2024)
RR
North Carolina(11/11/2022)
RR
Ohio(11/11/2022)
RR
Oklahoma(11/15/2022)
RR
Oregon(11/18/2022)
RR
Pennsylvania(11/11/2022)
RR
South Carolina(11/11/2022)
RR
Tennessee(11/11/2022)
RR
Texas(11/11/2022)
IAR
Texas(11/11/2022)
RR
Utah(11/11/2022)
RR
Virginia(11/11/2022)
RR
Washington(11/11/2022)
RR
Wisconsin(11/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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.
