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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

ERIC SCOTT STROMINGER

Advisor at A.G.P / ALLIANCE GLOBAL PARTNERS

New York, NY

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Search this name across graphsid dfx:ria:d86d661e-fb69-2830-9b5b-9db8b6dad059

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 29, 2007 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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 25, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S65|S63
First exam: Jul 25, 1996
First registration: Aug 29, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 2650097

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A.G.P / ALLIANCE GLOBAL PARTNERS	Independent wealth	Jul 23, 2021	n/a	yes	New York, NY	Current employment
AEGIS CAPITAL CORP.	Bd affiliated wealth	Mar 15, 2016	Aug 9, 2021	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Mar 4, 2014	Dec 22, 2015	no	NEW YORK, NY	Previous registration
MAXIM FINANCIAL ADVISORS LLC	Independent wealth	Apr 5, 2010	Apr 1, 2014	no	NEW YORK, NY	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 5, 2009	Mar 18, 2010	no	NEW YORK, NY	Previous registration
EASTBROOK CAPITAL GROUP LLC	n/a	Aug 29, 2007	Mar 3, 2009	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AEGIS CAPITAL CORP.	A.G.P / ALLIANCE GLOBAL PARTNERS	Aug 9, 2021	Jul 23, 2021	-17	Firm change	Ibd to RIA
OPPENHEIMER & CO. INC.	AEGIS CAPITAL CORP.	Dec 22, 2015	Mar 15, 2016	84	Firm change	Other
MAXIM FINANCIAL ADVISORS LLC	OPPENHEIMER & CO. INC.	Apr 1, 2014	Mar 4, 2014	-28	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MAXIM FINANCIAL ADVISORS LLC	Mar 18, 2010	Apr 5, 2010	18	Firm change	Other
EASTBROOK CAPITAL GROUP LLC	MSI FINANCIAL SERVICES, INC.	Mar 3, 2009	Mar 5, 2009	2	Firm change	Other

Relationships

Registered with (6)

→ A.G.P / ALLIANCE GLOBAL PARTNERSRegistered adviserregistration: current employment
Jul 23, 2021 to presentfactForm ADV
→ AEGIS CAPITAL CORP.Registered adviserregistration: previous registration
Mar 15, 2016 to Aug 9, 2021factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Mar 4, 2014 to Dec 22, 2015factForm ADV
→ MAXIM FINANCIAL ADVISORS LLCRegistered adviserregistration: previous registration
Apr 5, 2010 to Apr 1, 2014factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 5, 2009 to Mar 18, 2010factForm ADV
→ EASTBROOK CAPITAL GROUP LLCRegistered adviserregistration: previous registration
Aug 29, 2007 to Mar 3, 2009factForm ADV

Dated events

No dated event names this entity yet.