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1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-02 |
| KY | RA | APPROVED | 2025-01-02 |
| TX | RA | APPROVED_RES | 2024-04-26 |
Branch Locations
730 Fairview Ave Suite B1-A, Bowling Green, KY 42101 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Bowling Green | KY | 01/2016 | 03/2024 |
| Aegis Capital Corp | Melville | NY | 04/2024 | Present |
1) Hope One Inc; not investment-related; Alvaton, KY; non profit/mission minded; President/Creator; 10/1/2016; 1 weekend/quarter; 0 hours/trading; lead meeting quarterly; organize a mission trip annually. 2) Rental Property, 815 Mark St., Franklin KY 42134; Investment Related; Owner, no duties; Start date: 01-07-2026; 0 hours per month dedicated to business; 0 hours during securities trading hours. 3) ACC AGENCY, INC., 1305 WALT WHITMAN RD., STE 120 MELVILLE, NY 11747; INVESTMENT RELATED; PRODUCER/AGENT; INSURANCE GENERAL AGENCY; START DATE DECEMBER 2024; 5-10 HOURS PER MONTH DEDICATED TO BUSINESS; 5-10 HOURS DURING SECURITIES TRADING HOURS. D/B/A MFI Investment LLC; All securities offered through Aegis Capital Corp.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-02-20 |
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