Wealth Management

Aegis Capital’s financial professionals have the knowledge and the experience to understand your needs and help you reach your financial goals for any stage of your life. We work with you one-on-one to find solutions that fit your specific investment goals and style. Every investor has a different situation, which is why we believe every investor needs a financial professional who can provide individual attention and service. Our financial professionals have the flexibility to analyze industry leading investment opportunities on your behalf and the expertise to help you decide if an investment is right for you.

INDIVIDUAL INVESTOR PRODUCTS & SERVICES

PRODUCTS - MORE FINANCIAL CHOICES, TODAY AND TOMORROW

We have access to a wide array of financial products, so we have total flexibility when working with you, to map out the right investment plan for any stage of your life. From equities and fixed income to complex insurance policies and more - we have quality products that can easily be integrated into your investment plan. They include:

• Annuities
• Money Markets and CD’s
• Bonds (Corporate, Municipal, Government, etc.)
• Education Savings Accounts
• Individual Retirement Accounts
• Mutual Funds
• Stocks & Options
• 401(k) & 403(b) Retirement
• REITs

SERVICES- MORE WAYS TO KEEP UP WITH CHANGE

The world around you changes quickly and so do your opportunities. Looking beyond the easy answers and "trend of the moment" advice, our financial professionals approach your objectives with a fresh perspective. To that end, your Aegis Capital investment professional can also offer you the following full suite of financial services:

• Portfolio Management
• Insurance Services
• Term/Universal Life & Group Health
• Annuities
• Long Term Care
• Retirement Planning
• Education Planning/ College Saving
• Estate Planning • Income Distribution Planning

ADVISORY SERVICES

Managed account planning has become a very popular way that clients wish to have their money managed. Aegis Capital has appropriately licensed financial professionals who can offer these types of managed/advisory accounts across our multiple clearing platforms. Through these types of accounts, you will have access to some of the following benefits:

• Access to a variety of investments, including: professional money managers, mutual funds & ETFs.
• Custom tailored portfolios
• Rebalancing options
• Tax management services • Consolidated reporting • Overlay portfolio management services

CORPORATE & INSTITUTIONAL SERVICES

CAPITAL MARKETS

The Capital Markets Group is committed to providing value-added products and services through client-driven solutions in the following areas:

• Investment Banking
• Syndicate
• Late-Stage Venture Capital
• Institutional and Corporate Trading
• Initial Public Offerings (IPOs)
• Follow-On Offerings
• Confidentially Marketed Public Offerings (CMPOs)
• Registered Directs (RDs), PIPEs and Private Placements
• At-the-Market Offerings (ATMs)
• Special Purpose Acquisition Vehicles (SPACs)
• Fixed Income Offerings
• Rights Offering
• Real Estate Financial & Structuring
• Bridge & Mezzanine Financing
• Going Private Transactions
• 10b5-1 Plans, Stock Option Plans

INVESTMENT BANKING

Our client-focused Investment Banking team strives to meet the specific needs of our corporate clients by providing two specific types of services: Financial Facilitation Services and Financial Advisory Services.

Financial Facilitation Services
Our Financial Facilitation Services include acting as either agent or underwriter for private placements or public offerings of equity and/or debt securities.

Financial Advisory Services
Our Financial Advisory Services include strategic advisory assignments with respect to mergers and acquisitions, divestitures, corporate defense activities, restructurings and spin-offs.

SMALL BUSINESS - MORE INSIGHT INTO THE ENTREPRENEURIAL SPIRIT

There's great freedom in working for yourself, but with that autonomy comes great responsibility. Aegis Capital was founded by true business entrepreneurs; therefore we appreciate and understand what it takes to operate a business, retain employees and stay competitive in an evolving marketplace.

Devising an investment plan is one of the most vital steps you can take in rewarding yourself and your employees for all your accomplishments. We will work with you to help develop the right combination of benefits including:

• 401(k) plans
• Stock options
• Grant plans
• Profit sharing and deferred compensation plans
• Key Man Insurance
• Employee pension plans

Business Services