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Rocco J. Lafaro

Aegis Capital Corp.

Bronxville, NY

New York, NY

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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
PA RA APPROVED 2022-01-03
NY RA APPROVED 2021-12-22
CT RA APPROVED 2021-12-07
  • PA RA
    APPROVED
    Since 2022-01-03
  • NY RA
    APPROVED
    Since 2021-12-22
  • CT RA
    APPROVED
    Since 2021-12-07

Branch Locations

26 Paxton Ave, Bronxville, NY 10708 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Aegis Capital Corp. New York NY 09/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-21
S63 Uniform Securities Agent State Law Examination 2008-12-22
  • S66 Uniform Combined State Law Examination
    2021-12-21
  • S63 Uniform Securities Agent State Law Examination
    2008-12-22

View on SEC IAPD

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