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SS

Sanford E. Steinberg

A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 834205
SS

Professional summary

Sanford Elliott Steinberg, who also goes by Sandy Steinberg, Sanford Elliot Steinberg, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.

Sanford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Sanford has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, PC and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sandy Steinberg | Sanford Elliot Steinberg

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)RG MICHALS, 40 WALL ST, 46TH FLOOR, NEW YORK, NY 10005, THE PURPOSE OF THE AFFILIATION IS FOR MEDICAL INSURANCE ONLY, NO DUTIES OR TITLE, NOT INVESTMENT RELATED; START DATE: 4/29/2009; 0 HOURS PER MONTH DEVOTED TO BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sanford Elliott Steinberg's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sanford Elliott Steinberg's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 4, 2019 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431
RIA
BD
CRD#: 8361
Boca Raton, FL
Current

October 4, 2019 - Present

A.G.P. / ALLIANCE GLOBAL PARTNERS

Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431
RIA
BD
CRD#: 8361
Boca Raton, FL
Past

March 23, 2010 - October 25, 2019

AEGIS CAPITAL CORP.

RIA
CRD#: 15007
BOCA RATON, FL
Past

March 23, 2010 - October 25, 2019

AEGIS CAPITAL CORP.

BD
CRD#: 15007
BOCA RATON, FL
Past

May 1, 2008 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
BOCA RATON, FL
Past

April 29, 2008 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BOCA RATON, FL
Past

November 2, 2006 - May 15, 2008

STANFORD GROUP COMPANY

RIA
CRD#: 39285
BOCA RATON, FL
Past

November 1, 2006 - May 15, 2008

STANFORD GROUP COMPANY

BD
CRD#: 39285
BOCA RATON, FL
Past

October 29, 2004 - November 10, 2006

STILLPOINT WEALTH MANAGEMENT, LLC

RIA
CRD#: 119154
BOCA RATON, FL
Past

April 2, 2004 - November 10, 2006

STILLPOINT WEALTH MANAGEMENT, LLC

BD
CRD#: 119154
BOCA RATON, FL
Past

April 17, 1991 - April 19, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BOCA RATON, FL
Past

June 21, 1986 - April 19, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 16, 1985 - June 10, 1986

GOLDEN HARRIS CAPITAL GROUP, INC.

BD
CRD#: 13889
Past

February 28, 1980 - April 11, 1985

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
Past

June 12, 1979 - March 28, 1980

BROADCHILD SECURITIES CORP.

BD
CRD#: 7702
Past

March 1, 1977 - August 31, 1979

RICHARD FRANKLIN, INC.

BD
CRD#: 5977

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
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
(10/4/2019)
IAR
California
(9/5/2024)
RR
Connecticut
(10/17/2019)
IAR
Connecticut
(9/5/2024)
RR
Florida
(10/4/2019)
IAR
Florida
(10/23/2019)
RR
Georgia
(10/18/2021)
RR
Illinois
(10/4/2019)
IAR
Illinois
(12/2/2024)
RR
Indiana
(10/25/2019)
RR
Missouri
(12/2/2020)
RR
Nevada
(8/22/2022)
RR
New Jersey
(10/22/2019)
IAR
New Jersey
(9/5/2024)
RR
New Mexico
(1/8/2025)
IAR
New Mexico
(1/8/2025)
RR
New York
(10/4/2019)
RR
North Carolina
(10/25/2019)
IAR
North Carolina
(9/5/2024)
RR
Ohio
(10/4/2019)
RR
Oregon
(10/4/2019)
RR
Pennsylvania
(10/4/2019)
RR
South Carolina
(10/10/2023)
IAR
South Carolina
(9/12/2024)
IAR
Texas
(10/4/2019)
RR
Texas
(10/17/2019)
RR
Vermont
(8/8/2022)
RR
Virginia
(10/4/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/12/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/5/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 5/30/1986
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

A.G.P. / ALLIANCE GLOBAL PARTNERS
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A.G.P. PART 2A DISCLOSURE BROCHURE (10/30/2025)
A.G.P. WRAP FEE PROGRAM BROCHURE (10/30/2025)

Direct owners and executive officers

NamePositionCRD#
ALLIANCE GLOBAL HOLDINGS, INC.HOLDING COMPANY
GAMBARDELLA, RAFFAELECOO/CHIEF RISK OFFICER2448073
HIGGINS, THOMAS JOSEPHPRINCIPAL OPERATIONS OFFICER1477505
KLEIN, CRAIG ERINCFO, PRINCIPAL FINANCIAL OFFICER3253836
LAURIELLO, ANTHONY JOSEPHMUNICIPAL SECURITIES PRINCIPAL1086881
MICHALS, PHILLIP WILLIAMCHIEF EXECUTIVE OFFICER2414124
VENEZIA, JOHN JOSEPHCHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA2737135

Regulatory assets under management

Total Number of Accounts6,959
AUM (Assets Under Management)$ 2,300,125,872

Disclosures

Regulatory Event15
Arbitration3

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

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD#: 8361Boca Raton, FL 33431

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