James Wright

Current Employers

Aegis Capital Corp.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-02-17
SC	RA	APPROVED	2023-04-12
FL	RA	APPROVED	2022-07-01
CT	RA	APPROVED	2021-11-28
VA	RA	APPROVED	2021-11-22
NY	RA	APPROVED	2021-10-29

CA RA
APPROVED

Since 2026-02-17
SC RA
APPROVED

Since 2023-04-12
FL RA
APPROVED

Since 2022-07-01
CT RA
APPROVED

Since 2021-11-28
VA RA
APPROVED

Since 2021-11-22
NY RA
APPROVED

Since 2021-10-29

Branch Locations

New York, NY • United States

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

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
American Portfolios Financial Services, Inc.	Holbrook	NY	03/2015	10/2021
Aegis Capital Corp	New York	NY	10/2021	Present

03/2015 → 10/2021

American Portfolios Financial Services, Inc.

Holbrook, NY
10/2021 → Present

Aegis Capital Corp

New York, NY

Previous Registrations

2015-03-12 → 2021-11-02

American Portfolios Advisors, Inc

Holbrook, NY

Other Businesses

1. Bbot Inc., 77th St. New York, NY; Not investment related; Technology services, investor, no duties; Start date: 10/2019; 0 hours devoted to business

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-19
S63	Uniform Securities Agent State Law Examination	1987-03-09

S65 Uniform Investment Adviser Law Examination

2021-11-19
S63 Uniform Securities Agent State Law Examination

1987-03-09

Other Names

James Bertalan

View on SEC IAPD