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Confrence Godwin Gbaje

A.G.P / Alliance Global Partners
31 Years of Experience
5 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
A.G.P / Alliance Global Partners
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
123 advisors
Number of Clients
5,849 clients
Average Client Portfolio
$289K average
Assets Under Management
$1.7B

Fee Structure

Minimum Investment:$10K
Financial Planning:Investment management only

Location

40 Wall Street, New York, NY, 10005

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
August 2022
Judgment / Lien
August 2019
Customer Dispute
February 2011
Settled
Customer Dispute
February 1998
Denied
Customer Dispute
January 1997
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
A.G.P / Alliance Global Partners
March 2022 - Present · 3 yrs 11 mos
A.G.P. / Alliance Global PartnersBroker
February 2022 - Present · 4 yrs
Previous Registrations
Aegis Capital CORP.Broker
March 2010 - March 2022 · 12 yrs
Gunnallen Financial, INCBroker
March 2007 - March 2010 · 3 yrs
Maxim Group LLCBroker
October 2002 - April 2007 · 4 yrs 6 mos
Investec Ernst & CompanyBroker
December 2000 - October 2002 · 1 yr 10 mos
Gkn Securities CORP.Broker
October 1996 - December 2000 · 4 yrs 2 mos
Gruntal & CO. IncorporatedBroker
January 1996 - October 1996 · 9 mos
Lew Lieberbaum & CO., INC.Broker
March 1995 - January 1996 · 10 mos
A. R. Baron & CO., INC.Broker
March 1994 - September 1994 · 6 mos
Emanuel and CompanyBroker
September 1993 - January 1994 · 4 mos
State Registrations20 states
CACODCFLGAILLAMAMDMSNCNJNYOHPARISCTXVAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Confrence Godwin Gbaje - Financial Advisor | TrueAdvisor