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Disclosures

Regulation Best Interest

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Investment Adviser

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General Disclosures

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RBC Clearing and Custody ("RBC")

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Axos Clearing ("AXOS")

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Market and Trading 

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  • SEC Rule 606 Disclosure link here and here

    • Aegis Capital Corp. is required to post Rule 606 report data for each market participant ID (“MPID”) that it maintains. Aegis maintains the following MPIDs:

      • AGIS – for securities and options trade data relating to accounts held with RBC Clearing & Custody.

      • AGCP – for securities and options trade data relating to accounts held with AXOS Clearing LLC.

    • Please contact Aegis if you have any questions about Rule 606 report data and how it applies to your order activity.

  • Extended Hours Trading Risk Disclosure link to PDF

  • FINRA Rule 5320 Disclosure link to PDF

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Founded in 1984, Aegis Capital Corp. is a full service retail and institutional broker-dealer located in New York City. Our management is committed to providing the highest level of service to our clients.

Contact Us

1345 Avenue of the Americas, 27th Floor

New York, NY 10105

Phone: (212) 813-1010 | 800-920-2502

Fax: (212) 937-3916

Members of 

FINRA | SIPC | NQX | ARCA
Trades are cleared on a fully disclosed basis and assets are held at RBC and Axos

FINRA Broker Check | Senior Helpline |Clearing Firms | Disclosures

Email: info@aegiscap.com

Aegis Capital Corporation , All Rights Reserved

 

Brokerage and investment advisory products and services, are offered through Aegis Capital Corp, a member of FINRA and SIPC. Insurance products are made available through, ACC General Agency, a licensed insurance agency. For those persons inquiring from states where a specific associate is not currently securities and/or insurance licensed, the associate will not transact business in that state or provide follow-up individual responses, until after the associate obtains the appropriate registration in the applicable state.

 

The information provided should not be relied upon in isolation for the purpose of making an investment decision. You must also consider the objectives, risks, charges, and expenses associated with an investment service, product or strategy prior to making an investment decision. Prior to making any investment or financial decision, an investor should seek advice from a financial, legal, tax and other professional that consider all of the particular facts and circumstances of an investor’s situation. The opinions expressed and material provided are for information purposes only and is not an offer, recommendation, or solicitation of any product, strategy or transaction. Any views, strategies or products discussed may not be appropriate or suitable for all individuals and are subject to risks.

Investment and insurance products offered are not insured by the FDIC or any other federal government agency, are not deposits or other obligations of, or guaranteed by, a bank or any bank affiliate, and are subject to investment risks, including possible loss of the principal amount invested.

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Securities offered through Aegis Capital Corporation, a registered Broker/Dealer. Member: FINRA/SIPC | Investment advisory services offered through Aegis Capital Corporation, an SEC Registered Investment Advisor.

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© 2023 Aegis Capital Corporation, All Rights Reserved proudly created by YNotYou Media

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