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Moss Jason Plaine

A.g.p. / Alliance Global Partners

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About Moss Jason Plaine

Moss Plaine is a registered investment advisor representative with A.g.p. / Alliance Global Partners. Moss has been in the industry since 1992 and is registered in several states including California, Connecticut, New York and Texas. Moss has a Series 65 and Series 63 license and is a registered representative with FINRA. Moss also has Series 7 and SIE licenses. Moss is a licensed advisor with A.g.p. / Alliance Global Partners.

Firm Information

Moss Plaine 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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Moss Plaine’s Registration & Firm History

NY

09/28/2018 - Present

A.g.p. / Alliance Global Partners (New York NY)

NY

01/04/2013 - 10/15/2018

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

11/26/1993 - 01/09/2013

BURNHAM SECURITIES INC. (NEW YORK NY)

NA

04/23/1985 - 04/18/1986

PHILIPS, APPEL & WALDEN, INC.

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Licenses & Designations

IA

Issued 06/03/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/10/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Moss Jason Plaine.
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