CP
Charles J. Parisio
A.G.P. / ALLIANCE GLOBAL PARTNERS
Rochelle Park, NJ 07662
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CRD#: 707201
CP
Professional summary
Charles Joseph Parisio is a registered financial professional currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Rochelle Park, New Jersey.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1980. Charles has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles Joseph Parisio'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 30, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 365 W Passaic Street Ste #275, Rochelle Park, NJ 07662RIA
BD
CRD#: 8361
Rochelle Park, NJ
Past
January 24, 2017 - December 22, 2023
AEGIS CAPITAL CORP.
BD
CRD#: 15007
Rochelle Park, NJ
Past
April 10, 2012 - February 17, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
PARAMUS, NJ
Past
September 5, 2008 - April 11, 2012
OSAIC FS, INC.
BD
CRD#: 3870
PARAMUS, NJ
Past
April 25, 2006 - October 3, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PARAMUS, NJ
Past
January 2, 2002 - May 2, 2006
OPPENHEIMER & CO. INC.
BD
CRD#: 249
FLORHAM PARK, NJ
Past
December 2, 1994 - January 2, 2002
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
August 25, 1994 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
BD
CRD#: 8143
NEW YORK, NY
Past
August 19, 1994 - September 6, 1994
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
BD
CRD#: 8143
NEW YORK, NY
Past
April 5, 1989 - September 15, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
Past
August 5, 1988 - March 10, 1989
INVESTORS CENTER, INC.
BD
CRD#: 14670
HAUPPAGUE, NY
Past
June 16, 1987 - August 12, 1988
JERSEY CAPITAL MARKETS GROUP INC.
BD
CRD#: 14406
Past
March 17, 1986 - July 18, 1987
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
November 25, 1985 - April 1, 1986
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
Past
April 23, 1980 - October 21, 1985
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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.
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
Florida(11/30/2023)
RR
New Jersey(11/30/2023)
RR
New York(11/30/2023)
RR
North Carolina(1/2/2024)
RR
Oregon(11/30/2023)
RR
Pennsylvania(11/30/2023)
RR
Virginia(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
