Andrew Michael Brookman

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → 05/2019
  Oppenheimer & Co. Inc.
  Stamford, CT
• 05/2019 → 03/2022
  Lpl Financial Llc
  Stamford, CT
• 03/2022 → Present
  Aegis Capital Corp
  Westport, CT

Previous Registrations

• 2021-06-25 → 2022-04-18
  Lpl Financial Llc
  Stamford, CT
  Stamford, CT

Other Businesses

1) 07/26/2021 - Alpha Strategic Advisors - Investment Related - At Reported Business Location(s) - DBA; Securities Offered Through Aegis Capital Corp - Start Date: 06/29/2021 - 200 Hours Per Month/5 Hours During Securities Trading. 2) JAKAMB LLC, 900 Pacific St., Apt. 714 Stamford, CT 06902; Investment Related; Owner, Entity established for tax purpose; Start date: March 2020; 5 hours per month devoted to business; 0 hours during securities trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-06-24
• S63 Uniform Securities Agent State Law Examination
  1999-07-20