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Colin Patrick Carter

Aegis Capital Corp.

New York, NY

CRD 6848680

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2025-11-04
  • NY RA
    APPROVED
    Since 2025-11-04

Branch Locations

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • 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
OrganizationCityStateFromTo
Fishs Eddy New York NY 06/2017 01/2018
Unemployed New York NY 01/2017 02/2017
University Of Delaware Newark DE 08/2013 05/2017
Axa Advisors, Llc. New York NY 01/2018 06/2020
Equitable Advisors, Llc New York NY 01/2018 05/2021
Equitable Woodbury NY 05/2021 04/2023
Morgan Stanley New York NY 04/2023 03/2024
Aegis Capital Corp New York NY 04/2024 Present
  • 06/2017 → 01/2018
    Fishs Eddy
    New York, NY
  • 01/2017 → 02/2017
    Unemployed
    New York, NY
  • 08/2013 → 05/2017
    University Of Delaware
    Newark, DE
  • 01/2018 → 06/2020
    Axa Advisors, Llc.
    New York, NY
  • 01/2018 → 05/2021
    Equitable Advisors, Llc
    New York, NY
  • 05/2021 → 04/2023
    Equitable
    Woodbury, NY
  • 04/2023 → 03/2024
    Morgan Stanley
    New York, NY
  • 04/2024 → Present
    Aegis Capital Corp
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-10
S63 Uniform Securities Agent State Law Examination 2017-12-27
  • S66 Uniform Combined State Law Examination
    2018-12-10
  • S63 Uniform Securities Agent State Law Examination
    2017-12-27
Other Names
  • Colin Carter

View on SEC IAPD

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Nearby Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

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