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DG
DG
Daniel Jack Goldschmidt
A.G.P / Alliance Global Partners
19 Years of Experience
4 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Financial Planning & Coaching
High 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
Investment Management
Planning
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Location
40 Wall Street, New York, NY, 10005
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History
Regulatory History (4)
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
April 2024
Customer Dispute
December 2016
Denied
Employment Separation After Allegations
May 2015
Customer Dispute
April 2009
Closed-No Action
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
A.G.P / Alliance Global Partners
April 2021 - Present · 4 yrs 10 mos
A.G.P. / Alliance Global Partners
Broker
March 2021 - Present · 4 yrs 11 mos
Previous Registrations
Aegis Capital CORP.
July 2015 - March 2021 · 5 yrs 8 mos
Aegis Capital CORP.
Broker
July 2015 - March 2021 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2006 - May 2015 · 9 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Broker
January 2006 - May 2015 · 9 yrs 4 mos
State Registrations
7 states
CA
CT
FL
MD
NJ
NM
NY
Advisor
Broker
Both
Exams
No exam information available for this advisor.