Westport, CT 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

156 Kings Highway North, 1st Floor

Westport CT 06880

Advisors at this office

5

Advisors at this office

user avatar

David G

Series 63

Westport, CT

Aegis Capital Corp.

David Gershoni is a financial advisor with Aegis Capital Corp., holding a Series 63 designation and bringing 34 years of industry experience. He worked at Ameriprise Financial Services, Inc. for 17 years before joining Aegis Capital in 2022. Outside of his advisory role, he is also an agent and producer at ACC Agency, Inc., a general insurance agency. 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 through RBC and AXOS platforms. The firm offers both discretionary and non-discretionary account options and provides trade execution, clearing, custody, and reporting services.

Concentrated stock management
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James I

Series 66

Westport, CT

Aegis Capital Corp.

James Iannazzo is a financial advisor at Aegis Capital Corp. with 29 years of industry experience. He holds the Series 66 designation and has worked at Merrill and Bank of America prior to joining Aegis in 2022. Outside of his advisory role, he is involved as a principal in Coastal Private Wealth, an entity established for tax purposes, and serves as a producer/agent for ACC Agency, Inc., an insurance general agency. 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 through RBC and AXOS platforms. The firm offers both discretionary and non-discretionary account options and emphasizes service to individual, corporate, and retirement plan clients.

Concentrated stock management
user avatar

Francis M

Series 63, Series 65

Westport, CT

Aegis Capital Corp.

Francis Mc Kenna is a financial advisor at Aegis Capital Corp. with eight years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Chilton Trust Company for twelve years. In addition to his advisory role, he 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 by providing investment advisory and brokerage services, financial planning, and managed account programs through RBC and AXOS platforms. The firm offers both discretionary and non-discretionary account options and provides trade execution, clearing, custody, and reporting services.

Concentrated stock management
user avatar

Stanley C

Series 63, Series 66

Westport, CT

Aegis Capital Corp.

Stanley Crouch is a financial advisor at Aegis Capital Corp. with 41 years of industry experience. He holds Series 63 and Series 66 designations and has been with Aegis Capital Corp. since 2011. 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 supports trade execution, clearing, custody, and reporting services for its clients.

Concentrated stock management
user avatar

Christopher S

Series 63, Series 65

Westport, CT

Aegis Capital Corp.

Christopher Selke is a financial advisor at Aegis Capital Corp. with 23 years of industry experience. He holds Series 63 and Series 65 designations and has worked at Wells Fargo Clearing, Wells Fargo Advisors, Morgan Stanley, and UBS Financial Services prior to joining Aegis in 2026. Aegis Capital Corp. serves a diverse client base including both individual and corporate clients, offering a range of financial services such as asset management, financial planning, brokerage, annuities, and insurance. The firm operates as both an SEC-registered investment adviser and a FINRA member broker-dealer, with a notable emphasis on non-discretionary advisory services where clients approve trades before execution.

Concentrated stock management
View complete list of advisors at this office
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