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1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-12-13 |
Branch Locations
Bordentown, NJ • United States
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp | New York | NY | 11/2013 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/2019 | 12/2023 |
| Bank Of America, N.A. | New York | NY | 07/2019 | 12/2023 |
| Aegis Capital Corp | New York | NY | 12/2023 | Present |
Name of outside business organization: AG CAPITAL HOLDINGS LLC Investment related: Y Address of business: JACKSON HEIGHTS, New York 11372 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 11/2013 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: CURRENTLY INACTIVE INVESTMENT ACCOUNT.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-31 |
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