Richard Frank Parnigoni

Employer firm

Aegis Capital Corp. CRD 15007

$1.78B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Aegis Capital Corp.

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

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2023-07-21

NH RA
APPROVED

Since 2023-07-21

Branch Locations

Windham, NH • United States

1305 Walt Whitman Rd Suite 120, Melville, NY 11747 • 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

Organization	City	State	From	To
Investors Capital Corporation	Lynnfield	MA	01/2015	10/2016
Cetera Advisors Llc	Denver	CO	10/2016	07/2018
Lpl Financial Llc	Salem	NH	07/2018	04/2021
Securities America, Inc	Salem	NH	04/2021	01/2023
Securities America Advisors	Salem	NH	04/2021	01/2023
Securities America Advisors	Windham	NH	01/2023	03/2023
Securities America, Inc	Windham	NH	01/2023	03/2023
Newbridge Securities Corporation	Boca Raton	FL	03/2023	04/2023
Newbridge Financial Services Group, Inc.	Boca Raton	FL	03/2023	04/2023
Pin Wealth	North Reading	MA	04/2023	06/2023
Aegis Capital Corp	Melville	NY	07/2023	Present

01/2015 → 10/2016

Investors Capital Corporation

Lynnfield, MA
10/2016 → 07/2018

Cetera Advisors Llc

Denver, CO
07/2018 → 04/2021

Lpl Financial Llc

Salem, NH
04/2021 → 01/2023

Securities America, Inc

Salem, NH
04/2021 → 01/2023

Securities America Advisors

Salem, NH
01/2023 → 03/2023

Securities America Advisors

Windham, NH
01/2023 → 03/2023

Securities America, Inc

Windham, NH
03/2023 → 04/2023

Newbridge Securities Corporation

Boca Raton, FL
03/2023 → 04/2023

Newbridge Financial Services Group, Inc.

Boca Raton, FL
04/2023 → 06/2023

Pin Wealth

North Reading, MA
07/2023 → Present

Aegis Capital Corp

Melville, NY

Previous Registrations

2023-04-25 → 2023-06-02

Pin Wealth

North Reading, MA

Woburn, MA

Windham, NH
2023-04-05 → 2023-04-17

Nfsg Corporation

Windham, NH

Boca Raton, FL
2021-04-23 → 2023-03-09

Securities America Advisors, Inc.

Salem, NH

Woburn, MA
2018-07-25 → 2021-05-21

Lpl Financial Llc

Woburn, MA

Salem, NH

Salem, NH

Woburn, MA

Alpharetta, GA
2016-10-03 → 2018-07-27

Cetera Advisors Llc

Woburn, MA
2015-01-26 → 2016-10-03

Investors Capital Corp.

Woburn, MA

Woburn, MA

Lynnfield, MA

Lynnfield, MA
2013-03-20 → 2015-02-03

Signator Investors, Inc.

Westborough, MA

Woburn, MA

Westborough, MA
2010-04-09 → 2011-03-25

Cantella & Co., Inc.

Woburn, MA

Malden, MA

Woburn, MA
2009-11-17 → 2010-03-11

Td Wealth Management Services Inc.

Wellesley, MA

Lexington, MA
2007-11-07 → 2009-11-17

Cetera Investment Services Llc

Lexington, MA
2004-08-31 → 2006-04-24

Jesup & Lamont Securities Corp

New York, NY

Other Businesses

1) PAR FINANCIAL D/B/A, ALL SECURITIES OFFERED THROUGH AEGIS CAPITAL CORP, 1305 WALT WHITMAN RD., SUITE 120 MELVILLE, NY 11747 2) ACC AGENCY, INC., 1305 WALT WHITMAN RD., STE 120 MELVILLE, NY 11747; INVESTMENT RELATED; GENERAL INSURANCE AGENCY; PRODUCER/AGENT; START DATE: 12-19-2023; 5-10 HOURS PER MONTH DEVOTED TO BUSINESS; 5-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-06-06
S63	Uniform Securities Agent State Law Examination	1984-01-18

S65 Uniform Investment Adviser Law Examination

2002-06-06
S63 Uniform Securities Agent State Law Examination

1984-01-18

Other Names

Richard Frank Parnigoni

View on SEC IAPD