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Investment Adviser Firm Summary

A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. (CRD# 8361 / SEC# 8-25132, 801-70276)
Alternate Names: A.G.P / ALLIANCE GLOBAL PARTNERS , A.G.P. , A.G.P. / ALLIANCE GLOBAL PARTNERS , A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. , A.G.P./ALLIANCE GLOBAL , EURO PACIFIC CAPITAL , EURO PACIFIC CAPITAL, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/15/2009

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/11/2010
Alaska 11/05/2009
Arizona 06/15/2009
Arkansas 01/19/2010
California 06/15/2009
Colorado 09/10/2009
Connecticut 06/15/2009
Delaware 12/14/2009
District of Columbia 05/06/2010
Florida 06/15/2009
Georgia 11/05/2009
Hawaii 08/18/2009
Idaho 01/22/2010
Illinois 08/26/2009
Indiana 01/11/2010
Iowa 12/08/2009
Kansas 09/14/2009
Kentucky 12/07/2009
Louisiana 11/05/2009
Maine 01/22/2010
Maryland 12/07/2009
Massachusetts 01/19/2010
Michigan 11/05/2009
Minnesota 10/12/2009
Mississippi 01/19/2010
Missouri 08/18/2009
Montana 01/22/2010
Nebraska 09/14/2009
Nevada 08/18/2009
New Hampshire 12/07/2009
New Jersey 06/15/2009
New Mexico 01/11/2010
New York 06/15/2009
North Carolina 11/05/2009
North Dakota 01/22/2010
Ohio 11/05/2009
Oklahoma 12/07/2009
Oregon 06/15/2009
Pennsylvania 06/15/2009
Puerto Rico 05/08/2014
Rhode Island 01/22/2010
South Carolina 12/07/2009
South Dakota 01/21/2010
Tennessee 11/06/2009
Texas 06/15/2009
Utah 11/05/2009
Vermont 01/22/2010
Virgin Islands 07/01/2010
Virginia 11/05/2009
Washington 06/15/2009
West Virginia 01/22/2010
Wisconsin 11/05/2009
Wyoming 09/29/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser