A full service retail and institutional broker-dealer in New York, New York, Aegis Capital Corp. operates with a focus on enhancing client goals through unencumbered advice and a conflict-free platform. Aegis Capital Corp. maintains membership with several financial and investment organizations such as the Financial Industry Regulatory Authority (FINRA), which offers broker reviews through the digital BrokerCheck system.
BrokerCheck provides users with a complete review of a broker’s professional history, including employment backgrounds, licenses, and certifications. It also provides information about a broker’s regulatory actions and any violations. Designed to help investors make informed decisions regarding potential brokers and their firms, the free tool utilizes data collected through FINRA’s registration process and information in filings from firms, regulators, and investment professionals. Additionally, the database contains information on formerly registered brokers who may work for other financial services industries.
For more information about BrokerCheck, visit www.brokercheck.finra.org.