03/19/2026 | Press release | Distributed by Public on 03/19/2026 14:51
| Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
|
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
| Filer CIK |
0000318492
|
| Filer CCC |
XXXXXXXX
|
| Is this a LIVE or TEST Filing? | LIVE TEST |
| Would you like a Return Copy? | |
| Is this an electronic copy of an official filing submitted in paper format? | |
| Confirming Copy File Number | |
Submission Contact Information |
|
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |
| Report for the Period Beginning |
07-01-2024
|
| and Ending |
06-30-2025
|
| Type of Registrant | Broker-dealer |
| OTC derivatives dealer |
Material Weakness |
|
| Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
| Name of Broker-dealer |
A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC
|
| Address 1 |
88 Post Road West, 2nd Floor
|
| City |
Westport
|
| State/Country |
CONNECTICUT
|
| Mailing Zip/ Portal Code |
06880
|
| Name |
Craig Klein
|
| Telephone Number |
203-662-9700 EXT 102
|
| Name - if individual, state last, first, and middle name |
Farber Hass Hurley LLP
|
| Address 1 |
9301 Oakdale Avenue, #230
|
| City |
Chatsworth
|
| State/Country |
CALIFORNIA
|
| Mailing Zip/ Postal Code |
91311
|
| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
| Signature |
/s/ Phil Michals
|
| Title |
Executive Chairman
|
| Checking this box acknowledges that this oath or affirmation has been notarized. |