James Robert Brennan

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
NY	RA	APPROVED	2021-07-26

NY RA
APPROVED

Since 2021-07-26

Branch Locations

Syracuse, NY • 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
Princor Financial Services Corp	Syracuse	NY	03/2007	06/2021
Aegis Capital Corp	Syracuse	NY	07/2021	Present

03/2007 → 06/2021

Princor Financial Services Corp

Syracuse, NY
07/2021 → Present

Aegis Capital Corp

Syracuse, NY

Previous Registrations

2021-06-30 → 2021-07-14

Principal Securities, Inc.

Syracuse, NY

Clay, NY
2004-10-20 → 2007-03-23

Banc Of America Investment Services, Inc.

Cicero , NY

Ithaca, NY

Ithaca, NY

Wolcott, NY

Ithaca, NY

Syracuse, NY

Manlius, NY

Syracuse, NY

Fayetville, NY

Cicero, NY
2004-07-01 → 2004-10-20

Quick & Reilly, Inc.

Cicero, NY

Other Businesses

***Columbia Hall Inc; Not Investment Related; Minetto, NY; Co-Owner; S-Corp purchase of commercial building to rehab, 50% owner.; Start Date: 04/01/2021; na hrs per month; na during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-06-30
S63	Uniform Securities Agent State Law Examination	1984-10-09

S65 Uniform Investment Adviser Law Examination

2004-06-30
S63 Uniform Securities Agent State Law Examination

1984-10-09

View on SEC IAPD