Disclosures

Regulation Best Interest

Investment Advisor

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

  • Investment Advisor Form ADV Part 2B Wrap Program Brochure link to PDF

  • Investment Advisor Code of Ethics link to PDF

 

General Disclosures

RBC Clearing and Custody ("RBC")

Axos Clearing ("AXOS")

Market and Trading 

  • 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