Alec S. Lowell
A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
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CRD#: 6327835
Professional summary
Alec Spencer Lowell, CFP®, who also goes by Alec Lowell, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.
Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Alec has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alec Lowell
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. A.I.D. Wealth Management - Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431 - DBA Wealth Management - Started 05/12/2014 - 140 Hours Per Month During Securities Trading.-Sales 2. The A.I.D. Group - Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431 - DBA for Wealth Management - Started 01/01/2018 - 160 Hours Per Month During Securities Trading.-Sales 3. The 401(K)ompany-Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431-DBA for Wealth Management-Started 01/01/2021- Zero hours or as needed-Sales 4. Lowell Newman-Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431-DBA for Life Insurance Sales-Started 05/11/2022- Zero hours or as needed-Sales 5. Dynamic Life Insurance Strategies-Investment Related - 2700 Military Trail, Suite 230, Boca Raton, FL 33431-DBA for Life Insurance Sales-Started 05/11/2022- Zero hours or as needed-Sales 6. Advisors Insurance Design 2700 Military Trail, Suite 230, Boca Raton, FL 33431-DBA for Life Insurance Sales-Started 05/04/14- Zero hours or as needed-Sales 7. ASL Financial LLC-Investment Related -9071 Moriset Court, Delray Beach, FL 33446 - Operating company established to receive fees- Started 05/23/2022-No hours no business
CRS (Client Relationship Summary) - RIA
Click below to view Alec Spencer Lowell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alec Spencer Lowell'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®
CFP®
Start date: 2020
Experience
Current
January 10, 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
Current
December 16, 2021 - 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
February 15, 2018 - December 22, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
FT LAUDERDALE, FL
Past
February 14, 2018 - December 22, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
FT LAUDERDALE, FL
Past
September 9, 2016 - February 15, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
FT LAUDERDALE, FL
Past
August 26, 2014 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
FT LAUDERDALE, FL
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(12/16/2021)
IAR
California(9/5/2024)
RR
Florida(12/16/2021)
IAR
Florida(1/10/2022)
RR
Georgia(12/16/2021)
IAR
Illinois(9/6/2024)
RR
Massachusetts(12/16/2021)
RR
Minnesota(12/16/2021)
RR
New Jersey(12/16/2021)
RR
New York(12/16/2021)
RR
Tennessee(12/16/2021)
RR
Texas(2/28/2022)
IAR
Texas(2/28/2022)
RR
Washington(5/24/2022)
Exams
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#: 8361Boca Raton, FL 33431TRUST BUT VERIFY
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