Adviser and broker representative · A.G.p. / Alliance Global Partners

Roger D. Follis

CRD 2653439 · Newport Beach, CA

At a glance

Roger D. Follis is an investment adviser representative with A.G.p. / Alliance Global Partners in Newport Beach, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Roger’s SEC record dates to 2001, about 25 years ago. Roger is also registered as a broker representative.

Current advisory firm

A.G.p. / Alliance Global PartnersSince February 2024Newport Beach, CA · $2.9B in regulatory assets

SEC adviser record

Registered since: 2001 (25 years)
Designations: None on file
Exams: Series 63, Series 65
Registered in: 2 states
Also a broker representative: Yes
Disclosures on record: Yes, see the SEC record

AtlasMembers

Roger’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website: Locked
Previous firms, with start and end dates: 6 firmsLocked
Employment history: Locked
States they’re registered in: Locked
Outside business activities: Locked
When they joined their current firm, and their firm’s growth: Locked

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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

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