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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 | 2025-01-01 |
| VA | RA | APPROVED | 2024-02-23 |
| TX | RA | APPROVED_RES | 2023-12-22 |
Branch Locations
1305 Walt Whitman Rd Suite 120, Melville, NY 11747 • United States
Stuart, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Vienna | VA | 09/2007 | 12/2023 |
| Aegis Capital Corp | New York | NY | 12/2023 | Present |
SFP 408 Inc., 2001 SE Sailfish Point Blvd., Stuart FL 34996; Not investment related; Entity established for tax purposes as an independent contractor 1099; No duties; Start date: 05/10/2024; 0 hours devoted to business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-20 |
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