Melville, NY Office

Team
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Aegis Capital Corp.

Multi-team

Firm-wide stats for Aegis Capital Corp.

Total advisors

101

Across 49 offices

Clients per advisor

30 Very Low

Avg AUM per client

$508,532 Typical

HNW client ratio

37% High

About

Aegis Capital Corp. provides investment advisory and related financial services to a mix of individual (both non‑HNW and high‑net‑worth) and corporate clients, offering asset management, financial planning, brokerage, annuities, insurance and occasional investment banking services. The firm is dually registered as an SEC investment adviser and a FINRA member broker‑dealer and makes advisory services available through multiple sponsored programs and third‑party platforms.

Adviser relationships may be discretionary or non‑discretionary, with clients able to participate in programs such as uMAS, UMA and third‑party consulting solutions, and the firm documents client profiles and conducts periodic portfolio reviews (generally semi‑annually). Unusually for an enterprise firm, most of Aegis’s reported assets under management are handled on a non‑discretionary basis, so advisers commonly provide recommendations that clients must approve before trades are executed.

Aegis is notable among peers for its active broker‑dealer operations and related revenue sources — including transaction charges, payment‑for‑order‑flow arrangements and sweep rebates — and for having a disclosed related law firm; those affiliations are identified in the brochure and are subject to the firm’s conflict‑management policies. The firm primarily charges percentage‑of‑AUM advisory fees rather than flat fixed fees and discloses a history of regulatory actions and settlements that prospective clients may wish to review.

Based on Aegis Capital Corp.

Expertise

Concentrated stock management

Based on Aegis Capital Corp.

Location

1305 Walt Whitman Rd, Suite 120

Melville NY 11747

Advisors at this office

16

Advisors at this office

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Rick S

Series 65, Series 63

Melville, NY

Aegis Capital Corp.

Rick Sande is a financial advisor at Aegis Capital Corp. with 21 years of industry experience, including 16 years at his current firm. He holds Series 65 and Series 63 licenses. Outside of his advisory role, he is also a life insurance agent affiliated with American National Insurance Company and acts as a producer/agent for ACC Agency, Inc. Aegis Capital Corp. offers investment advisory and financial services to both individual and corporate clients, providing asset management, financial planning, brokerage, annuities, insurance, and occasional investment banking. The firm operates as both an SEC-registered investment adviser and a FINRA member broker-dealer, delivering services through multiple platforms and maintaining a notable focus on non-discretionary asset management.

Concentrated stock management
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Michelle P

Series 63, Series 66

Melville, NY

Aegis Capital Corp.

Michelle Perres is a financial advisor at Aegis Capital Corp. with 24 years of industry experience. She holds Series 63 and Series 66 credentials and has been with Aegis Capital Corp. since 2014. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients by offering investment advisory and brokerage services, financial planning, and access to managed account programs through RBC and AXOS platforms. The firm operates both discretionary and non-discretionary account options and provides trade execution, clearing, custody, and reporting services.

Concentrated stock management
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Robert T

Series 65, Series 63

Melville, NY

Aegis Capital Corp.

Robert Taglich is a financial advisor with Aegis Capital Corp., holding Series 65 and Series 63 licenses and bringing 39 years of industry experience. He has worked at Taglich Brothers, Inc. since 1992 and joined Aegis Capital Corp. in 2026. Aegis Capital Corp. offers investment advisory and financial services to individual and corporate clients, including asset management, financial planning, brokerage, and occasional investment banking. The firm provides both discretionary and non-discretionary advisory relationships and is notable for its active broker-dealer operations alongside its SEC registration.

Concentrated stock management
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Christopher H

Series 66

Melville, NY

Aegis Capital Corp.

Christopher Hilla is a financial advisor at Aegis Capital Corp. with 10 years of industry experience. He holds the Series 66 designation and previously worked at Bank of America and Merrill from 2016 to 2024. Aegis Capital Corp. serves a diverse client base including both non‑high-net-worth and high-net-worth individuals as well as corporate clients. The firm offers investment advisory, financial planning, brokerage, annuities, insurance, and occasional investment banking services, with most assets managed on a non‑discretionary basis requiring client approval for trades.

Concentrated stock management
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Jeffrey T

Series 63, Series 65

Melville, NY

Aegis Capital Corp.

Jeffrey Thure is a financial advisor with Aegis Capital Corp. in Melville, NY, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. He has been with Aegis Capital Corp. since 2013. Outside of his advisory role, he serves as Managing Director for a restaurant ownership business. Aegis Capital Corp. provides investment advisory and brokerage services to individual investors, retirement and benefit plans, trusts, estates, and corporate clients. The firm offers both discretionary and non-discretionary account options and supports clients through financial planning and managed account programs via RBC and AXOS platforms.

Concentrated stock management
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Michael T

Series 63, Series 65

Melville, NY

Aegis Capital Corp.

Michael Taglich is a financial advisor at Aegis Capital Corp. with 41 years of industry experience. He holds Series 63 and Series 65 designations and previously worked at Taglich Brothers, Inc. for 35 years. Aegis Capital Corp. provides investment advisory and financial services to individual and corporate clients, including asset management, financial planning, brokerage, and occasional investment banking. The firm operates as both an SEC-registered investment adviser and a FINRA member broker-dealer, offering a variety of advisory programs with a notable emphasis on non-discretionary client relationships.

Concentrated stock management
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Henry L

Series 63, Series 65

Melville, NY

Aegis Capital Corp.

Henry Liu is a financial advisor at Aegis Capital Corp. with 31 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Aegis Capital since 2011. Outside of his advisory role, Liu is the sole owner of a real estate management company. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients, offering investment advisory and brokerage services along with access to managed account programs through RBC and AXOS platforms. The firm provides both discretionary and non-discretionary account options and supports trade execution, clearing, custody, and reporting services.

Concentrated stock management
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David S

Series 63, Series 65, Series 66

Melville, NY

Aegis Capital Corp.

David Silberg is a financial advisor at Aegis Capital Corp. with 35 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses and has worked at several firms including Newbridge Securities Corporation and Allied Millennial Partners. Outside of his advisory role, Silberg serves on the Board of Trustees for the Port Jewish Center, where he is involved with the budget committee. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients by offering investment advisory and brokerage services, financial planning, and access to managed account programs through RBC and AXOS platforms. The firm provides both discretionary and non-discretionary account options and offers trade execution, clearing, custody, and reporting services.

Concentrated stock management
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Hector C

Series 63, Series 66

Melville, NY

Aegis Capital Corp.

Hector Crespo Jr. is a financial advisor at Aegis Capital Corp. with 27 years of industry experience. He holds Series 63 and Series 66 designations and has been with Aegis Capital Corp. since 2011. Outside of his advisory role, Crespo is active as a life insurance agent with John Hancock and MetLife and is involved with ACC Agency, Inc., a general insurance agency. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients, providing investment advisory and brokerage services, financial planning, and access to managed account programs through RBC and AXOS platforms. The firm offers both discretionary and non-discretionary account options and supports a range of client objectives across multiple program offerings.

Concentrated stock management
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Barry G

Series 65, Series 63

Melville, NY

Aegis Capital Corp.

Barry Goldstein is a financial advisor at Aegis Capital Corp. with 25 years of industry experience. He holds the Series 65 and Series 63 designations and has been with Aegis Capital since 2010. Aegis Capital Corp. provides investment advisory and financial services to both individual and corporate clients, offering asset management, financial planning, brokerage, annuities, insurance, and occasional investment banking. The firm operates as both an SEC-registered investment adviser and a FINRA member broker-dealer, serving clients through various sponsored programs and third-party platforms, with advisory relationships that may be discretionary or non-discretionary.

Concentrated stock management
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Karsten A

Series 66

Melville, NY

Aegis Capital Corp.

Karsten Appel is a financial advisor with Aegis Capital Corp., holding a Series 66 designation and one year of industry experience. Prior to joining Aegis in 2025, he worked briefly at Equitable Advisors, LLC and has a background including positions at Stony Brook University and Colorado State University. Aegis Capital Corp. provides investment advisory and related financial services to individual and corporate clients, offering a range of solutions including asset management, financial planning, brokerage, and occasional investment banking. The firm operates both as an SEC-registered investment adviser and a FINRA member broker-dealer, serving clients through multiple platforms and sponsoring programs with a focus on non-discretionary advisory relationships.

Concentrated stock management
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Gurjot W

Series 66

Melville, NY

Aegis Capital Corp.

Gurjot Waraich is a financial advisor at Aegis Capital Corp. with a Series 66 designation and one year of industry experience. Prior to his current role, he has held various positions outside the financial industry, including work at Postmates and Dunkin Donuts. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients by providing investment advisory and brokerage services, financial planning, and access to managed account programs. The firm offers both discretionary and non-discretionary account options and focuses on individual, corporate, and retirement plan business.

Concentrated stock management
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Danny S

Series 63, Series 66

Melville, NY

Aegis Capital Corp.

Danny Sookram is a financial advisor at Aegis Capital Corp. with 13 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at Aegis Capital Corp. and Equitable Advisors during his career. Outside of his advisory role, he serves as president of Sookrams Ventur Inc. Aegis Capital Corp. provides investment advisory and financial services to individual and corporate clients, offering asset management, financial planning, brokerage, annuities, insurance, and occasional investment banking services. The firm operates as both an SEC-registered investment adviser and a FINRA member broker-dealer.

Concentrated stock management
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Henry N

Series 66, Series 65

Melville, NY

Aegis Capital Corp.

Henry Nunez is a financial advisor at Aegis Capital Corp. with 17 years of industry experience. He holds the Series 65 and Series 66 credentials. Prior to joining Aegis in 2025, he worked at Apple Bank and Infinex Investments, Inc. for seven years each, among other roles. Nunez is also involved with ACC Agency, Inc., a general insurance agency. Aegis Capital Corp. serves individual and corporate clients with a range of financial services including asset management, financial planning, brokerage, annuities, and insurance. The firm combines SEC-registered investment advisory and broker-dealer operations, offering both discretionary and non-discretionary advisory relationships.

Concentrated stock management
user avatar

Mark E

Series 63, Series 65

Melville, NY

Aegis Capital Corp.

Mark Egener is a financial advisor with Aegis Capital Corp., holding Series 63 and Series 65 licenses and bringing 42 years of industry experience. His prior roles include positions at Securities America Advisors, Investacorp, and LPL Financial. Outside of his advisory work, he is associated with Great Western Drilling Co., a non-investment-related business. Aegis Capital Corp. offers investment advisory and related financial services to individual and corporate clients, providing asset management, financial planning, brokerage, annuities, insurance, and occasional investment banking services. The firm operates as both an SEC-registered investment adviser and a FINRA member broker-dealer, with a focus on non-discretionary advisory relationships and multiple sponsored and third-party platform programs.

Concentrated stock management
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