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Aegis Capital Corp. CRD 15007
$1.78B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-05-16 |
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Austin | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Austin | TX | 03/2009 | 12/2023 |
| Rbc Capital Markets, Llc | Austin | TX | 01/2024 | 04/2025 |
| Aegis Capital Corp | New York | NY | 05/2025 | Present |
1) MAINSPRING SCHOOLS, 1100 WESTLIVE OAK ST AUSTIN, TX 78704; NOT INVESTMENT RELATED; 501C3 NON-PROFIT; BOARD MEMBER; START DATE: August 28th 2026; 3 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 2) ACC AGENCY, INC. 1305 WALT WHITMAN RD., STE 120 MELVILLE, NY 11747; INVESTMENT RELATED; INSURANCE GENERAL AGENCY; PRODUCER, AGENT; START DATE: 09/18/2025; 5-10 HOURS PER MONTH DEVOTED TO BUSINESS; 5-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-21 |
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