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Current Employers
Aegis Capital Corp.

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2026-06-18
NY RA APPROVED 2022-03-21
FL RA APPROVED 2021-06-30
TX RA APPROVED_RES 2021-06-29
CA RA APPROVED 2017-02-02
  • CO RA
    APPROVED
    Since 2026-06-18
  • NY RA
    APPROVED
    Since 2022-03-21
  • FL RA
    APPROVED
    Since 2021-06-30
  • TX RA
    APPROVED_RES
    Since 2021-06-29
  • CA RA
    APPROVED
    Since 2017-02-02

Branch Locations

1305 Walt Whitman Rd Suite 120, Melville, NY 11747 • United States

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Aegis Capital Corp Melville NY 09/2014 Present
Previous Registrations
  • 2007-05-15 → 2009-06-01
    Clark Dodge & Co., Inc.
    Garden City, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-14
S63 Uniform Securities Agent State Law Examination 2001-10-20
  • S66 Uniform Combined State Law Examination
    2016-10-14
  • S63 Uniform Securities Agent State Law Examination
    2001-10-20
Other Names
  • Michelle Haffner

View on SEC IAPD

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