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BM
BM

Barry a Mills

A.G.P / Alliance Global Partners
20 Years of Experience
2 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

Fountain Square, 2700 N. Military Trail, Suite 230, Boca Raton, FL, 33431

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History

Regulatory History (2)
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.
Customer Dispute
December 2023
Settled
Financial
July 2020
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
A.G.P. / Alliance Global Partners
January 2020 - Present · 6 yrs 1 mo
A.G.P / Alliance Global Partners
January 2020 - Present · 6 yrs 1 mo
A.G.P. / Alliance Global PartnersBroker
January 2020 - Present · 6 yrs 1 mo
Previous Registrations
Aegis Capital CORP.Broker
May 2014 - January 2020 · 5 yrs 8 mos
Aegis Capital CORP.
May 2014 - January 2020 · 5 yrs 8 mos
Westport Resources Management INC
August 2012 - June 2014 · 1 yr 10 mos
Westport Resources Investment Services, INC.Broker
August 2012 - June 2014 · 1 yr 10 mos
Morgan Stanley Smith Barney LLC
December 2010 - September 2012 · 1 yr 9 mos
Morgan Stanley Smith BarneyBroker
October 2010 - September 2012 · 1 yr 11 mos
Robert Thomas Securities, INCBroker
May 1996 - April 1998 · 1 yr 11 mos
Smith Barney INC.Broker
July 1993 - June 1996 · 2 yrs 11 mos
Lehman Brothers INC.Broker
November 1992 - July 1993 · 8 mos
State Registrations5 states
CTFLMENYOH
AdvisorBrokerBoth
Exams
No exam information available for this advisor.