JH
Jacob D. Heskett
A.G.P. / ALLIANCE GLOBAL PARTNERS
Anchorage, AK
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CRD#: 4966855
JH
Professional summary
Jacob D Heskett is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Anchorage, Alaska.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jacob has worked at 5 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 57, Series 7, Series 6, Series 53, 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.
START DATE 07/2018 I AM AN EMPLOYEE OF CONSOLIDATED BROKERAGE SERVICE, A SERVICE ENTITY FOR CROWN CAPITAL SECURITIES, LP, I DEVOTE 160 HRS/MO TO THIS ACTIVITY, MOSTLY DURING TRADING HOURS. THIS IS AN INVESTMENT RELATED ACTIVITY, MY DUTIES INCLUDE ENTERING TRADES, SUPERVISING TRADING ACTIVITY & OCCASIONAL OPERATIONS ASSISTANCE AS B/D HOME OFFICE STAFF. BUSINESS ADDRESS IS THE SAME AS BROKER/DEALER LOCATION.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob D Heskett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob D Heskett'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
September 21, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
RIA
BD
CRD#: 8361
Anchorage, AK
Current
September 21, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1201 Dove Street Suite 200, Newport Beach, CA 92660RIA
BD
CRD#: 8361
Newport Beach, CA
Past
July 5, 2018 - September 21, 2023
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
ANCHORAGE, AK
Past
July 3, 2018 - September 21, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
August 9, 2012 - August 27, 2018
A.G.P. / ALLIANCE GLOBAL PARTNERS
RIA
CRD#: 8361
NEWPORT BEACH, CA
Past
August 8, 2012 - August 27, 2018
A.G.P. / ALLIANCE GLOBAL PARTNERS
BD
CRD#: 8361
NEWPORT BEACH, CA
Past
December 5, 2008 - March 24, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OMAHA, NE
Past
December 2, 2008 - March 24, 2011
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
December 13, 2007 - March 24, 2011
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
October 23, 2006 - June 18, 2007
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
GRAND ISLAND, NE
Past
June 1, 2005 - June 18, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
GRAND ISLAND, NE
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
Alaska(9/21/2023)
RR
California(9/21/2023)
IAR
California(9/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
