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1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| CO | RA | APPROVED | 2025-01-01 |
| FL | RA | APPROVED | 2025-01-01 |
| MD | RA | APPROVED | 2025-01-01 |
| NV | RA | APPROVED | 2025-01-01 |
| SC | RA | APPROVED | 2025-01-01 |
| AZ | RA | APPROVED | 2023-02-17 |
| MN | RA | APPROVED | 2023-02-07 |
| NJ | RA | APPROVED | 2023-02-06 |
| TX | RA | APPROVED_RES | 2023-02-06 |
| CT | RA | APPROVED | 2023-02-02 |
| OH | RA | APPROVED | 2023-02-02 |
| NY | RA | APPROVED | 2023-01-26 |
Branch Locations
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
2 disclosure categories 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 | 03/2010 | 11/2019 |
| Joseph Gunnar & Co., Llc | New York | NY | 11/2019 | 07/2022 |
| N/A | New York | NY | 08/2022 | 01/2023 |
| Aegis Capital Corp | New York | NY | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-13 |
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