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Aegis Capital Corp. CRD 15007
$1.78B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-04-29 |
| MN | RA | APPROVED | 2024-04-19 |
| FL | RA | APPROVED | 2023-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp | Sarasota | FL | 09/2023 | Present |
| Essenson Law Firm | Sarasota | FL | 10/2014 | 09/2023 |
| Essenson Law Firm | Sarasota | FL | 09/2023 | Present |
1) Essenson Law Firm, 100 Wallace Ave. #310 Sarasota, FL 34237; Not investment related; Of Counsel Attorney; Provides limited legal services to existing clients of the law firm; start date: 09/06/2023; 20 hours per month devoted to activity; Less than 10 hours per month devoted to activity during securities trading hours. 2) First Baptist Church of Sarasota, 8751 Fruitville Rd., Sarasota FL 34240; Not investment related; Trustee, oversee compliance in accordance with bylaws and help manage church budget; start date: 02-20-2024; 2 hours per month devoted to business; 0 hours during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-20 |
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