This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

A.G.P / ALLIANCE GLOBAL PARTNERS

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jul 28, 1989earliest registration or exam on IAPD

Years in industry

37derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66|S63

First exam

Jul 28, 1989

First registration

Jan 10, 2006

Dual registered

yes, broker-dealer

Other names

STEVE TOMKINS

IAPD individual key

1971624

• Occurred

  Aug 7, 2026
  Advisor changed firm

  Stephen Michael Tomkins left Oppenheimer & Co. Inc. for A.G.P / Alliance Global Partners (registered 2026-08-04)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6814dd60-4a34-3f22-0c2a-9ac144392d36

First observed

Jan 10, 2006

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.