A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC
Related Filers (5)
- ZyVersa Therapeutics, Inc. (4)
- Mount Rainier Acquisition Corp. (2)
- Industrial Human Capital, Inc. (1)
- Western Acquisition Ventures Corp. (1)
- Relativity Acquisition Corp (1)
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Other (29)
X-17A-5
Wednesday, 11/15/2023
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Thursday, 10/6/2022
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 9/29/2021
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 10/31/2018
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN/A
Thursday, 9/14/2017
None
X-17A-5
Tuesday, 8/29/2017
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Tuesday, 8/29/2017
None
FOCUSN
Monday, 8/29/2016
None
X-17A-5
Monday, 8/29/2016
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 8/28/2015
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Friday, 8/28/2015
None
FOCUSN
Thursday, 8/28/2014
None
X-17A-5
Thursday, 8/28/2014
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Tuesday, 8/27/2013
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 8/29/2012
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
D
Wednesday, 8/22/2012
Exempt (Private) Offering
X-17A-5
Monday, 8/29/2011
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 9/29/2010
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5/A
Monday, 10/26/2009
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5/A
Friday, 10/9/2009
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 9/30/2009
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 8/29/2008
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Tuesday, 11/27/2007
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Tuesday, 8/29/2006
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 9/9/2005
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5/A
Wednesday, 9/29/2004
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 8/27/2004
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 9/5/2003
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 9/4/2002
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
Ownership (9)
SC 13G
Friday, 3/31/2023
Relativity Acquisition Corp: Major Shareholders
SC 13G
Tuesday, 2/14/2023
ZyVersa Therapeutics, Inc.: Major Shareholders
4
Tuesday, 3/8/2022
Larkspur Health Acquisition Corp.: Statement of changes in beneficial ownership of securities
4
Monday, 2/7/2022
Larkspur Health Acquisition Corp.: Statement of changes in beneficial ownership of securities
3
Tuesday, 1/11/2022
Western Acquisition Ventures Corp.: Initial statement of beneficial ownership of securities
3
Monday, 12/20/2021
Larkspur Health Acquisition Corp.: Initial statement of beneficial ownership of securities
3
Tuesday, 10/19/2021
Industrial Human Capital, Inc.: Initial statement of beneficial ownership of securities
4
Friday, 10/8/2021
Mount Rainier Acquisition Corp.: Statement of changes in beneficial ownership of securities
3
Monday, 10/4/2021
Mount Rainier Acquisition Corp.: Initial statement of beneficial ownership of securities