Daryl M. Payton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daryl Michael Payton was a registered financial advisor .
Daryl is a previously registered financial advisor and started their career in finance in 2002. Daryl had worked at 8 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2007 - November 18, 2009
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 23, 2007 - November 21, 2007
HARRISDIRECT LLC
January 18, 2007 - November 21, 2007
E*TRADE SECURITIES LLC
July 20, 2005 - January 29, 2007
A.G.P. / ALLIANCE GLOBAL PARTNERS
March 16, 2005 - July 25, 2005
CAPITAL ONE FINANCIAL ADVISORS LLC
March 16, 2005 - July 21, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
April 21, 2004 - March 16, 2005
CHASE INVESTMENT SERVICES CORP.
April 12, 2004 - March 16, 2005
CHASE INVESTMENT SERVICES CORP.
July 14, 2003 - April 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 29, 2002 - April 28, 2004
IDS LIFE INSURANCE COMPANY
January 29, 2002 - April 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
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.
