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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
MD RA APPROVED 2026-01-08
  • MD RA
    APPROVED
    Since 2026-01-08

Branch Locations

201 W. Padonia Rd. Suite 300, Timonium, MD 21093 • United States

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

Disclosures

3 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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Capitol Securities Mclean VA 08/2009 02/2020
Aegis Capital Corp Timonium MD 02/2020 Present
  • 08/2009 → 02/2020
    Capitol Securities
    Mclean, VA
  • 02/2020 → Present
    Timonium, MD
Previous Registrations
Other Businesses

1) Name of Business: CASEY CARES FOUNDATION Investment-related: No Address: 7100 Columbia Gateway Dr Suite 155, Columbia, MD 21046 Nature of the other business: PROVIDES UPLIFTING PROGRAMS WITH A PERSONAL TOUCH FOR CRITICALLY ILL KIDS AND THEIR FAMILIES Position, title, or relationship with the other business: BOARD OF DIRECTORS, EXECUTIVE COMMITTEE, INVESTMENT COMMITTEE Start date: 01/01/2009. Approx number of hours/month you devote to the other business: 5-10 hours per month Approx number of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: BOARD DIRECTOR, Fundraising 2)Name of Business: ACC Agency, Inc 1305 Walt Whitman Road, Suite 120, Melville, NY 11747 Description of Business: Insurance general agency. Company will hold appointments and process non-investment related insurance sales Investment Related: Yes Web Address/Business Card: No Job Title: Producer/Agent Compensation: Commission unknown Approx number of hours/month you devote to the other business: 5-10 Approx number of hours/month you devote to the other business during securities trading hours: 5-10 Start Date: 06-26-2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-16
S63 Uniform Securities Agent State Law Examination 1983-01-07
  • S65 Uniform Investment Adviser Law Examination
    2013-10-16
  • S63 Uniform Securities Agent State Law Examination
    1983-01-07

View on SEC IAPD

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