Disclosures

Regulation Best Interest

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• Form CRS (Customer Relationship Summary) link to PDF

• Form CRS Disclosure Supplement link to PDF

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Investment Adviser

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• Investment Adviser Form ADV Part 2A Firm Brochure link to PDF

• Investment Adviser Code of Ethics link to PDF

 

General Disclosures

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• Privacy Policy link to PDF

• Business Continuity Plan link to PDF

• DOL PTE 2020-22 Client Disclosure link to PDF

• Electronic Communication Disclosure link to PDF

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RBC Clearing and Custody ("RBC")

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• RBC Fee Schedule link to PDF

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Axos Clearing ("AXOS")

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• AXOS Fee Schedule link to PDF

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Market and Trading 

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• SEC Rule 606 Disclosure link 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