A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC
Legal name: A.G.P / ALLIANCE GLOBAL PARTNERS
CRD #8361 SEC #801-70276 WESTPORT, CT 800-727-7922
SEC Registered Broker-Dealer Private Funds Disclosures
Total AUM
$2.3B
Discretionary
$1.9B
Employees
320
Clients
101
Accounts
6,959
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Oct 30, 2025
- Branch Offices
- 17
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| CALICCHIO, ALPHONSE JOHN III | I | CHIEF OPERATING OFFICER | NA | |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER ONLY | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR THE INVESTMENT ADVISOR | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DECKER, ROBERT HENRY | I | CHIEF COMPLIANCE OFFICER FOR BROKER DEALER | NA | Control |
| DOUGLASS, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| DOUGLASS, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| DOUGLASS, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| DOUGLASS, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| DOUGLASS, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| DOUGLASS, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | Control |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| FUSILLO, ELENA | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| FUSILLO, ELENA | I | CCO FOR THE INVESTMENT ADVISOR | NA | |
| GAMBARDELLA, RAFFAELE | I | CFO AND CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | CFO AND CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | CFO AND CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | CFO AND CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | CFO AND CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | CFO AND CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| GAMBARDELLA, RAFFAELE | I | COO/CHIEF RISK OFFICER | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HAMILTON, CANDACE CAROLE | I | CHIEF OF COMPLIANCE FOR THE INVESTMENT ADVISOR ONLY | NA | Control |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| HIGGINS, THOMAS JOSEPH | I | PRINCIPAL OPERATIONS OFFICER | NA | |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| KLEIN, CRAIG ERIN | I | CFO, PRINCIPAL FINANCIAL OFFICER | NA | Control |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| LAURIELLO, ANTHONY JOSEPH | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MCBEAN, WILLIAM GORDON | I | PRESIDENT | NA | |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MICHALS, PHILLIP WILLIAM | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| PERICH, JOSE LUIS | I | CCO FOR RIA | NA | |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL, FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL, FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL, FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL, FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| VENEZIA, JOHN JOSEPH | I | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | NA | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL HOLDINGS, INC. | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| ALLIANCE GLOBAL, LLC | DE | HOLDING COMPANY | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
| SCHIFF, PETER DAVID | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER, MUNICIPAL SECURITIES PRINCIPAL | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| BOCCHI, DAVID ARTHUR | I | DAVID BOCCHI FAMILY TRUST | E | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | D | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL LLC | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL LLC | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL LLC | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL LLC | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL LLC | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| DAVID BOCCHI FAMILY TRUST | DE | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL LLC | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| GAMBARDELLA, RAFFAELE | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL LLC | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
| MICHALS, PHILLIP WILLIAM | I | ALLIANCE GLOBAL HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Oct 30, 2025 REGISTERED
Notice Filings (52)
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Address
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