SD
Siddharth Dhawan
A.G.P. / ALLIANCE GLOBAL PARTNERS
Aventura, FL 33180
Some features on this profile are disabled
CRD#: 4452006
SD
Professional summary
Siddharth Dhawan is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Aventura, Florida.
Siddharth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Siddharth has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
Business Ownership; ICAP INTERNATIONAL LLC; PRESIDENT/CEO; ENTITTY SET UP FOR TAX PURPOSES AS WELL AS MANAGING BRANCH RELATED EXPENSES AND STAFF PAY; MIAMI FL 33131; not Investment Related; June 2008; 1-9 hours per month; 0 during trading hours. Independent Insurance Brokering; AMERICAN GENERAL; March 2013. Simplicity Financial Distributors, Investment Related, Glastonbury, CT Insurance Distributors, Insurance Rep, Simplicity will provide insurance products to the Rep, April , 1, 2025, 10 Hours Non-trading, Insurance Sales. Independent Insurance Brokering; voya insurance and annuity company; February 2015.
CRS (Client Relationship Summary) - RIA
Click below to view Siddharth Dhawan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Siddharth Dhawan'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 29, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 19505 Biscayne Blvd Suite 2350, Aventura, FL 33180RIA
BD
CRD#: 8361
Aventura, FL
Current
November 29, 2022 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 19505 Biscayne Blvd Suite 2350, Aventura, FL 33180RIA
BD
CRD#: 8361
Aventura, FL
Past
September 1, 2015 - December 5, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Hallandale Beach, FL
Past
August 14, 2015 - December 5, 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
September 25, 2001 - February 10, 2003
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, 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(12/8/2022)
RR
Arizona(11/29/2022)
RR
California(11/29/2022)
RR
Colorado(11/29/2022)
RR
Connecticut(11/29/2022)
RR
Delaware(12/20/2022)
RR
Florida(11/29/2022)
IAR
Florida(12/7/2022)
RR
Georgia(11/29/2022)
RR
Illinois(12/9/2022)
RR
Indiana(4/27/2023)
RR
Iowa(11/29/2022)
RR
Kentucky(11/29/2022)
RR
Maryland(11/29/2022)
RR
Massachusetts(11/29/2022)
RR
Michigan(11/29/2022)
RR
Minnesota(12/8/2022)
RR
Mississippi(12/8/2022)
RR
Missouri(11/29/2022)
RR
Nevada(11/29/2022)
IAR
Nevada(12/13/2022)
RR
New Jersey(11/29/2022)
RR
New York(11/29/2022)
IAR
New York(9/5/2024)
RR
North Carolina(11/29/2022)
RR
Ohio(11/29/2022)
RR
Oklahoma(12/5/2022)
RR
Oregon(12/4/2022)
RR
Pennsylvania(11/29/2022)
RR
South Carolina(11/29/2022)
RR
South Dakota(12/7/2022)
RR
Tennessee(11/29/2022)
RR
Texas(11/29/2022)
IAR
Texas(11/29/2022)
RR
Utah(11/29/2022)
RR
Virginia(11/29/2022)
RR
Washington(11/29/2022)
RR
West Virginia(11/29/2022)
RR
Wisconsin(11/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Aventura, FL 33180TRUST BUT VERIFY
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