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DC

Daniel Lawrence Caso

Aegis Capital CORP.
38 Years of Experience
5 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate Planning
Aegis Capital CORP.
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
94 advisors
Number of Clients
1,733 clients
Average Client Portfolio
$826K average
Assets Under Management
$1.4B

Fee Structure

Location

Boston, MA

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2009
Denied
Customer Dispute
April 2003
Withdrawn
Customer Dispute
May 2002
Denied
Customer Dispute
April 1995
Award / Judgment
Customer Dispute
June 1991
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Aegis Capital CORP.
March 2025 - Present · 11 mos
Aegis Capital CORP.
January 2025 - Present · 1 yr 1 mo
Aegis Capital CORP.Broker
January 2025 - Present · 1 yr 1 mo
Previous Registrations
Raymond James & Associates, INC.
July 2022 - October 2024 · 2 yrs 3 mos
Raymond James & Associates, INC.Broker
May 2022 - October 2024 · 2 yrs 5 mos
Wells Fargo Clearing Services, LLC
March 2016 - May 2022 · 6 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
February 2016 - May 2022 · 6 yrs 3 mos
Credit Suisse Securities (USA) LLC
July 2015 - March 2016 · 8 mos
Credit Suisse Securities (USA) LLCBroker
June 2015 - March 2016 · 9 mos
Barclays Capital INC.
June 2011 - July 2015 · 4 yrs 1 mo
Barclays Capital INC.Broker
June 2011 - July 2015 · 4 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2007 - June 2011 · 3 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2007 - June 2011 · 3 yrs 9 mos
Bear, Stearns & CO. INC.
August 2004 - September 2007 · 3 yrs 1 mo
Bear, Stearns & CO. INC.Broker
August 2004 - September 2007 · 3 yrs 1 mo
Oppenheimer & CO. INC.Broker
January 2003 - August 2004 · 1 yr 7 mos
Oppenheimer & CO., INC.Broker
March 1994 - April 1995 · 1 yr 1 mo
Cibc World Markets CORP.Broker
February 1994 - January 2003 · 8 yrs 11 mos
Lehman Brothers INC.Broker
December 1986 - February 1994 · 7 yrs 2 mos
State Registrations14 states
CACOCTDEFLGAMAMDNHNYOHRITXWV
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Exams
No exam information available for this advisor.