CFO, Principal Financial Officer · A.g.p / Alliance Global Partners
Craig Erin Klein
CRD 3253836 · Named on Form ADV at one SEC-registered adviser
At a glance
A.g.p / Alliance Global Partners, an SEC-registered broker-dealer firm based in Westport, CT with $2.9 billion in regulatory assets, lists Craig Erin Klein on its Form ADV as CFO, Principal Financial Officer, a control person.
Firms and roles
- A.g.p / Alliance Global PartnersCFO, Principal Financial OfficerBroker-dealer firm · Westport, CT · $2.9B in regulatory assets
AtlasMembers
Craig’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings (6)
- Thomas Joseph HigginsPrincipal Operations Officer, A.g.p / Alliance Global Partners
- Phillip William MichalsChief Executive Officer, A.g.p / Alliance Global Partners
- Anthony Joseph LaurielloMunicipal Securities Principal, A.g.p / Alliance Global Partners
- John Joseph VeneziaChief Compliance Officer - Broker Dealer, RIA, A.g.p / Alliance Global Partners
- Raffaele GambardellaCoo/chief Risk Officer, A.g.p / Alliance Global Partners
1 more person named with Craig on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Craig’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.