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Aditya Kumar Saraogi

A.g.p. / Alliance Global Partners

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About Aditya Kumar Saraogi

Aditya Kumar Saraogi is a financial advisor with over 20 years of experience in the industry. Aditya has worked with several firms, including Ameriprise Financial Services, LLC, JHS Capital Advisors, LLC, and AURA Financial Services, Inc. Aditya is currently registered with A.g.p. / Alliance Global Partners in Florida, New York and Texas. Aditya is a licensed securities professional with Series 7, 63, 66, 24, 4, and SIE licenses.

Firm Information

Aditya Saraogi is currently registered with A.g.p. / Alliance Global Partners. A.g.p. / Alliance Global Partners is a Limited Liability Company with a main office in Westport, Connecticut, and has been operating since July 2022. The firm has over 238 registered representatives and manages over $1.6 billion in regulatory assets. A.g.p. / Alliance Global Partners provides a variety of advisory services, including financial planning, portfolio management for individuals and businesses, selection of other advisors, and portfolio management for pooled investment vehicles. They cater to a diverse range of clients, including individuals, high-net-worth individuals, businesses, corporations, and charitable organizations.
A.g.p. / Alliance Global Partners

88 POST ROAD WEST

WESTPORT, CT 06880

$1.69B

Assets Under Management

Not reported

Total Clients

175

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Sub-adviser of pooled investment vehicle charges a performance f

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Aditya Saraogi’s Registration & Firm History

FL

11/11/2022 - Present

A.g.p. / Alliance Global Partners (Aventura FL)

FL

08/14/2015 - 11/11/2022

AMERIPRISE FINANCIAL SERVICES, LLC (Hallandale Beach FL)

FL

07/10/2009 - 08/14/2015

JHS CAPITAL ADVISORS, LLC (MIAMI FL)

FL

01/24/2003 - 07/24/2009

AURA FINANCIAL SERVICES, INC. (MIAMI FL)

NY

01/23/2002 - 02/10/2003

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

MA

01/14/2002 - 04/03/2002

ALLMERICA INVESTMENTS, INC. (WORCESTER MA)

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Licenses & Designations

BOTH

Issued 05/27/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/29/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/14/2004

Series 24 - General Securities Principal Examination

BC

Issued 07/14/2004

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Aditya Kumar Saraogi. Review regulatory record here.
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