Francis X. Schiavetti
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.
Francis Xavier Schiavetti was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1979. Francis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2023 - March 28, 2025
A.G.P. / ALLIANCE GLOBAL PARTNERS
June 29, 2021 - December 18, 2023
STOEVER, GLASS & COMPANY INC.
October 31, 2018 - June 24, 2021
STOEVER GLASS WEALTH MANAGEMENT, INC.
October 23, 2018 - June 24, 2021
STOEVER, GLASS & COMPANY INC.
March 7, 2016 - November 21, 2018
AEGIS CAPITAL CORP.
March 4, 2016 - November 21, 2018
AEGIS CAPITAL CORP.
April 2, 2014 - March 9, 2016
CITIGROUP GLOBAL MARKETS INC.
March 28, 2014 - March 9, 2016
CITIGROUP GLOBAL MARKETS INC.
September 14, 2010 - March 20, 2014
MORGAN STANLEY
August 20, 2010 - March 20, 2014
MORGAN STANLEY
October 30, 2006 - August 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 27, 2006 - August 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2004 - November 8, 2006
UBS FINANCIAL SERVICES INC.
September 15, 2004 - November 8, 2006
UBS FINANCIAL SERVICES INC.
August 18, 2003 - July 2, 2004
MAGNA
July 1, 2003 - August 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 20, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 22, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1979 - October 8, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
