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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
NH RA APPROVED 2026-06-29
WA RA APPROVED 2026-02-17
VA RA APPROVED 2026-02-12
SC RA APPROVED 2025-09-18
GA RA APPROVED 2024-11-18
NC RA APPROVED 2023-11-07
MA RA APPROVED 2023-07-18
AL RA APPROVED 2022-01-10
KY RA APPROVED 2022-01-10
TX RA APPROVED_RES 2021-04-29
DE RA APPROVED 2017-03-21
FL RA APPROVED 2010-04-26
  • NH RA
    APPROVED
    Since 2026-06-29
  • WA RA
    APPROVED
    Since 2026-02-17
  • VA RA
    APPROVED
    Since 2026-02-12
  • SC RA
    APPROVED
    Since 2025-09-18
  • GA RA
    APPROVED
    Since 2024-11-18
  • NC RA
    APPROVED
    Since 2023-11-07
  • MA RA
    APPROVED
    Since 2023-07-18
  • AL RA
    APPROVED
    Since 2022-01-10
  • KY RA
    APPROVED
    Since 2022-01-10
  • TX RA
    APPROVED_RES
    Since 2021-04-29
  • DE RA
    APPROVED
    Since 2017-03-21
  • FL RA
    APPROVED
    Since 2010-04-26

Branch Locations

701 N Westshore Blvd Suite 205, Tampa, FL 33629 • 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. New York NY 04/2010 Present
Previous Registrations
  • 2010-03-19 → 2010-04-23
    Osaic Fs, Inc.
    Tampa, FL
    Annapolis, MD
  • 2000-08-14 → 2009-11-12
    Gunnallen Financial, Inc
    Tampa, FL
    Tampa, FL
    Tampa, FL
    Tampa, FL
    Tampa, FL
Other Businesses

1)POWELL FINANCIAL GROUP, 4122 W. SAN NICHOLAS ST. TAMPA, FL, 33647. INVESTMENT RELATED; FIXED INSURANCE PRODUCTS, HEALTH INSURANCE, LONG TERM CARE, DISABILITY INCOME. PRESDIENT AND OWNER. STARTED JUNE 2010, 10 HOURS PER MONTH, OF WHICH ABOUT 1 OCCUR DURING TRADING HOURS. 2) ACC AGENCY INC. 1305 WALT WHITMAN RD., SUITE 120 MELVILLE, NY 11747; INSURANCE GENERAL AGENCY. INVESTMENT RELATED. COMPANY WILL HOLD APPOINTMENTS AND PROCESS FIXED INSURANCE BUSINESS; PRODUCER, AGENT; START DATE: 05/12/2016; 1-2 HOURS PER MONTH DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1998-04-28
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1998-04-28

View on SEC IAPD

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