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Detailed Report
ERIC ARTHUR KLEINBERG
ERIC A KLEINBERG
CRD#: 1662003
IA
Investment Adviser
B
Broker
A.G.P / ALLIANCE GLOBAL PARTNERSCRD#: 8361 Fountain Square
2700 N. Military Trail, Suite 230
BOCA RATON, FL 33431
Registration History
199019952000200520102015202020252 FIRMS2012 - 2023 (11 years)2 FIRMS2023 - Present (1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2005 - 2012 (7 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2000 - 2005 (4 years)BFMS, INC. (CRD# 7793)1989 - 2000 (11 years)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2006 - 2012 (5 years)
Disclosure(s)
View By:
9/22/2007
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 10/20/2023
B
Massachusetts 10/23/2023
B
Colorado 3/5/2024
B
New Hampshire 10/20/2023
B
Florida 10/20/2023
B
New Jersey 10/20/2023
IA
Florida 10/30/2023
B
New York 10/20/2023
B
Georgia 10/20/2023
IA
New York 9/5/2024
B
Illinois 10/20/2023
B
Pennsylvania 10/20/2023
B
Maine 10/20/2023
B
Washington 10/20/2023
B
Maryland 10/20/2023
B
West Virginia 10/20/2023

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
A.G.P / ALLIANCE GLOBAL PARTNERS (CRD#:8361)
Fountain Square 2700 N. Military Trail, Suite 230, BOCA RATON, FL 33431
Registered with this firm since 10/30/2023
B
A.G.P. / ALLIANCE GLOBAL PARTNERS (CRD#:8361)
Fountain Square 2700 N. Military Trail, Suite 230, BOCA RATON, FL 33431
Registered with this firm since 10/20/2023
Previous Registration(s)
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IA
 08/14/2012 - 10/24/2023 MORGAN STANLEY (CRD#:149777) Boca Raton, FL
B
 08/06/2012 - 10/24/2023 MORGAN STANLEY (CRD#:149777) Boca Raton, FL
IA
 11/20/2006 - 08/08/2012 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BOCA RATON, FL
B
 01/21/2005 - 08/08/2012 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BOCA RATON, FL
B
 07/10/2000 - 02/11/2005 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) PHILADELPHIA, PA
B
 05/26/1989 - 07/10/2000 FMS, INC. (CRD#:7793) BOCA RATON, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.