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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.