CRD #8361 · FINRA BrokerCheck + SEC IAPD

A.G.P. / Alliance Global Partners

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A.G.P. / Alliance Global Partners ranks #281 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #6 of 111 on the same disclosure sort used on the state browse page. A.G.P. / Alliance Global Partners carries 21 BrokerCheck disclosures across 45 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
45
branch offices
21
disclosures
#281 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 8361 A.G.P. / Alliance Global Partners

A.G.P. / Alliance Global Partners · Grade C · 21 disc · 0.47/office · Mid-sized firm

  • CRD 8361
  • GRADE C
  • DISC 21
  • REG 18
  • ARB 3
  • CIV 0
  • BRANCH 45
  • PER-OFF 0.47
  • RANK #281 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Btig, LLC (0.46 disc/office)

Btig, LLC0.46Mesirow Financial, Inc.0.46Celadon Financial Group…0.50A.G.P. / Alliance G… (this)0.47
Disclosures per office among mid-sized firm peers (lower is cleaner)

A.G.P. / Alliance Global Partners ranks #281 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.47 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

45 offices

FINRA: Medium firm

Total disclosures

21 events

On FINRA BrokerCheck

Regulatory events

18 actions

86% of all disclosures

Disclosures per office

0.47 per office

21 ÷ 45 offices

A.G.P. / Alliance Global Partners vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 62% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 18
Arbitrations 3
Civil Events 0
Total 21

Counts for A.G.P. / Alliance Global Partners reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 18 Arbitration 3 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Westport, CT, 06880
Formed
07/06/2022
State of Formation
New York
CRD Number
8361
SEC Number
25132

Regulator-heavy mix

A.G.P. / Alliance Global Partners in the heavier-disclosure third

A.G.P. / Alliance Global Partners carries 21 BrokerCheck disclosures across 45 branch offices - a heavier-third raw book among graded firms (#281 of 20,055). Regulator-initiated events are 86% of the book (18 regulatory / 3 arbitration / 0 civil).

86% of A.G.P. / Alliance Global Partners's 21 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of A.G.P. / Alliance Global Partners's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Connecticut cohort · 5.95× state average

A.G.P. / Alliance Global Partners sits above the Connecticut disclosure average

A.G.P. / Alliance Global Partners reports 21 BrokerCheck disclosures, 5.95× the Connecticut average of 3.5 across 111 graded firms with a principal-office state on file.

In Connecticut, 76 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does A.G.P. / Alliance Global Partners sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A.G.P. / Alliance Global Partners ranks #281 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #6 of 111 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for A.G.P. / Alliance Global Partners?
A grade of C reflects A.G.P. / Alliance Global Partners's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 21 total disclosures across 45 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does A.G.P. / Alliance Global Partners have?
A.G.P. / Alliance Global Partners has 21 total FINRA disclosures, including 18 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is A.G.P. / Alliance Global Partners?
A.G.P. / Alliance Global Partners operates 45 branch offices and is classified by FINRA as a medium firm, registered in CT (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify A.G.P. / Alliance Global Partners's disciplinary record?
You can verify A.G.P. / Alliance Global Partners's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8361. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). A.G.P. / Alliance Global Partners's 21 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid A.G.P. / Alliance Global Partners because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. A.G.P. / Alliance Global Partners carries 21 disclosures across 45 branch offices (about 0.47 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for A.G.P. / Alliance Global Partners, both outside CT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (21 here).

Sanders Morris LLC · TX 21 disc. Speedtrader, Inc · NY 22 disc. Consolidated Trading LLC · IL 22 disc. Sumo Capital, LLC · IL 22 disc.

Read with this firm

  • Btig, LLC (CA) - 0.46 disclosures/office, nearest mid-sized firm peer to A.G.P. / Alliance Global Partners's 0.47
  • Mesirow Financial, Inc. (IL) - 0.46 disclosures/office, nearest mid-sized firm peer to A.G.P. / Alliance Global Partners's 0.47
  • Celadon Financial Group LLC (NJ) - 0.50 disclosures/office, nearest mid-sized firm peer to A.G.P. / Alliance Global Partners's 0.47
  • Firms in CT - state roster that includes A.G.P. / Alliance Global Partners's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like A.G.P. / Alliance Global Partners.
  • Reading BrokerCheck Reports - How A.G.P. / Alliance Global Partners's 0.47 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to A.G.P. / Alliance Global Partners.
  • Compare firms - put A.G.P. / Alliance Global Partners next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.