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AG
AG

Andrew George Gergatsoulis

Aegis Capital CORP.
36 Years of Experience
2 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

1345 Avenue of the Americas, 27th Floor, New York, NY, 10105

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History

Regulatory History (2)
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
October 2022
Settled
Customer Dispute
June 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Andrew is the owner of AG Capital Holdings LLC, an investment-related LLC, since 2013. The investment account is currently inactive and requires minimal time.

Employment History
Current Registrations
Aegis Capital CORP.
December 2023 - Present · 2 yrs 2 mos
Aegis Capital CORP.
December 2023 - Present · 2 yrs 2 mos
Aegis Capital CORP.Broker
December 2023 - Present · 2 yrs 2 mos
Previous Registrations
Aegis Capital CORP.
December 2023 - December 2023 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2019 - December 2023 · 4 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2019 - December 2023 · 4 yrs 6 mos
Aegis Capital CORP.
November 2013 - May 2019 · 5 yrs 6 mos
Aegis Capital CORP.Broker
November 2013 - May 2019 · 5 yrs 6 mos
Prospera Financial Services, INC.
March 2008 - November 2013 · 5 yrs 8 mos
Prospera Financial Services, INC.Broker
February 2008 - November 2013 · 5 yrs 9 mos
Wachovia Securities Financial Network, LLC
June 2002 - March 2008 · 5 yrs 9 mos
Wachovia Securities Financial Network, LLCBroker
January 2001 - March 2008 · 7 yrs 2 mos
Jwgenesis Securities, INC.Broker
September 1999 - January 2001 · 1 yr 4 mos
Josephthal & CO., INC.Broker
January 1998 - August 1999 · 1 yr 7 mos
Hampshire Securities CorporationBroker
May 1997 - December 1997 · 7 mos
First Cambridge Securities CorporationBroker
February 1996 - May 1997 · 1 yr 3 mos
Prudential Securities IncorporatedBroker
February 1995 - February 1996 · 1 yr
Gruntal & CO. IncorporatedBroker
July 1993 - February 1995 · 1 yr 7 mos
Bishop, Rosen & CO., INC.Broker
March 1991 - July 1993 · 2 yrs 4 mos
Prudential-Bache Securities INC.Broker
December 1990 - February 1991 · 2 mos
First Investors CorporationBroker
August 1989 - November 1990 · 1 yr 3 mos
Oppenheimer & CO., INC.Broker
July 1989 - August 1989 · 1 mo
State Registrations5 states
CAFLNJNYPA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.