Jeffery Harold Hattaway

Employer firm

Aegis Capital Corp. CRD 15007

$1.78B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Aegis Capital Corp.

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

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2023-05-11

GA RA
APPROVED

Since 2023-05-11

Branch Locations

Griffin, GA • United States

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

Organization	City	State	From	To
Edward Jones	St Louis	MO	04/2012	10/2018
Ameriprise Financial Services Inc	Griffin	GA	10/2018	03/2023
Aegis Capital Corp	Melville	NY	03/2023	Present

04/2012 → 10/2018

Edward Jones

St Louis, MO
10/2018 → 03/2023

Ameriprise Financial Services Inc

Griffin, GA
03/2023 → Present

Aegis Capital Corp

Melville, NY

Previous Registrations

2018-10-22 → 2023-03-29

Ameriprise Financial Services, Llc

Atlanta, GA

Griffin, GA

Atlanta, GA
2012-06-05 → 2018-10-22

Edward Jones

St Louis, MO

Griffin, GA

Madison, GA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-06-01

S66 Uniform Combined State Law Examination

2012-06-01

Other Names

Jeffery Hattaway

View on SEC IAPD