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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-12-04 |
| NY | RA | APPROVED | 2023-12-03 |
| NJ | RA | APPROVED | 2023-12-01 |
Branch Locations
365 W Passaic Street Ste #275, Rochelle Park, NJ 07662 • 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 |
|---|---|---|---|---|
| National Securities Corp | Paramus | NJ | 03/2012 | 01/2017 |
| National Asset Management, Inc. | Paramus | NJ | 04/2012 | 01/2017 |
| Aegis Capital Corp | Paramus | NJ | 01/2017 | 11/2023 |
| Alliance Global Partners | Rochelle Park | NJ | 11/2023 | Present |
KS CAPITAL MANAGEMENT INC,INVESTMENT RELATED, 365 W. PASSAIC ST. STE. 275 ROCHELLE PARK, NJ 07662, DBA THRU AEGIS CAPITAL CORP,PRESIDENT,START DATE 04/2012,40-50 HOURS/MONTH DURING TRADING HOURS, MANAGE CLIENT'S ACCOUNTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-29 |
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