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Detailed Report
THOMAS M DOWLING
CRD#: 2573963
IA
Investment Adviser
B
Broker
A.G.P / ALLIANCE GLOBAL PARTNERSCRD#: 8361 1000 William Hilton Pkwy
Suite C5
Hilton Head, SC 29928
Registration History
19952000200520102015202020252 FIRMS2005 - 2010 (4 years)2 FIRMS2010 - 2017 (7 years)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - Present (3 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)1999 - 2005 (5 years)BJOSEPHTHAL & CO., INC. (CRD# 3227)1995 - 1999 (3 years)BA. R. BARON & CO., INC. (CRD# 29285)1995 - 1995 (<1 year)
License(s)

State Registrations

B
Alabama 6/30/2021
B
Michigan 6/30/2021
B
Arizona 6/30/2021
B
Nebraska 6/30/2021
B
California 6/30/2021
B
Nevada 6/30/2021
IA
California 9/5/2024
B
New Jersey 6/30/2021
B
Colorado 6/30/2021
IA
New Jersey 9/5/2024
B
Connecticut 6/30/2021
B
New York 6/30/2021
B
Delaware 6/30/2021
IA
New York 9/5/2024
B
Florida 6/30/2021
B
North Carolina 7/22/2021
IA
Florida 9/6/2024
B
Ohio 6/30/2021
B
Georgia 6/30/2021
B
Oregon 6/30/2021
B
Illinois 7/15/2021
B
Pennsylvania 6/30/2021
IA
Illinois 12/2/2024
B
South Carolina 6/30/2021
B
Indiana 6/20/2023
IA
South Carolina 6/30/2021
B
Kentucky 6/20/2023
B
Texas 6/30/2021
B
Maryland 6/30/2021
IA
Texas 6/30/2021
B
Massachusetts 6/30/2021
B
Virginia 6/30/2021

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)
1000 William Hilton Pkwy Suite C5, Hilton Head, SC 29928
Registered with this firm since 6/30/2021
B
A.G.P. / ALLIANCE GLOBAL PARTNERS (CRD#:8361)
1000 William Hilton Pkwy Suite C5, Hilton Head, SC 29928
Registered with this firm since 6/30/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/27/2017 - 07/21/2021 AEGIS CAPITAL CORP. (CRD#:15007) HILTON HEAD ISLAND, SC
B
 06/27/2017 - 07/21/2021 AEGIS CAPITAL CORP. (CRD#:15007) HILTON HEAD ISLAND, SC
IA
 03/15/2017 - 06/30/2017 FSC SECURITIES CORPORATION (CRD#:7461) BLUFFTON, SC
B
 03/15/2017 - 06/30/2017 FSC SECURITIES CORPORATION (CRD#:7461) BLUFFTON, SC
IA
 03/24/2010 - 03/16/2017 AEGIS CAPITAL CORP. (CRD#:15007) Hilton Head Island, SC
B
 03/24/2010 - 03/16/2017 AEGIS CAPITAL CORP. (CRD#:15007) Hilton Head Island, SC
IA
 09/29/2005 - 03/29/2010 GUNNALLEN FINANCIAL, INC (CRD#:17609) NEW YORK, NY
B
 04/12/2005 - 03/29/2010 GUNNALLEN FINANCIAL, INC (CRD#:17609) NEW YORK, NY
B
 05/06/1999 - 04/13/2005 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
B
 10/19/1995 - 05/11/1999 JOSEPHTHAL & CO., INC. (CRD#:3227) NEW YORK, NY
B
 01/03/1995 - 11/10/1995 A. R. BARON & CO., INC. (CRD#:29285) NEW YORK, NY
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.