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John William Catalfio

A.g.p. / Alliance Global Partners

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About John William Catalfio

John William Catalfio is an active investment advisor representative at A.g.p. / Alliance Global Partners, headquartered in Westport, CT. John has been active in the industry since 1992. The firm has offices in Scottsdale, AZ and Newport Beach, CA. John has been registered with this firm since 2010 and has 30 active registrations in various states. A.g.p. / Alliance Global Partners provides financial planning services, portfolio management for individuals, businesses, and pooled investment vehicles. They also select other advisors for clients.

Firm Information

John Catalfio 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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John Catalfio’s Registration & Firm History

AZ

05/17/2013 - Present

A.g.p. / Alliance Global Partners (SCOTTSDALE AZ)

AZ

02/08/2000 - 06/04/2002

FIRST FINANCIAL EQUITY CORPORATION (SCOTTSDALE AZ)

MN

04/30/1997 - 02/16/2000

U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)

TX

02/16/1996 - 04/29/1997

PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)

CA

07/23/1993 - 02/20/1996

SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)

NY

10/16/1990 - 07/30/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/17/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/20/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/02/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 3 public disclosures for John William Catalfio. Review regulatory record here.
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