Andrew Michael Brookman

Aegis Capital CORP.

25 Years of Experience

4 DisclosuresBroker

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 (4)

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

June 2023

Settled

Customer Dispute

January 2023

Withdrawn

Customer Dispute

March 2022

Settled

Customer Dispute

December 2014

Settled

View Full SEC Report How to Read Disclosures

Other Business Activities

Andrew is doing business as Alpha Strategic Advisors, offering securities through Aegis Capital Corp, dedicating full-time hours to this. He also owns JAKAMB LLC, an entity established for tax purposes, dedicating minimal time to it.