David Perez

Aegis Capital CORP.

23 Years of Experience

3 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

New York, NY

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History

Regulatory History (3)

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.

Financial

June 2017

Final

Customer Dispute

October 2014

Closed-No Action

Customer Dispute

November 2013

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Aegis Capital CORP.

January 2023 - Present · 3 yrs 1 mo

Aegis Capital CORP.

January 2023 - Present · 3 yrs 1 mo

Aegis Capital CORP.Broker

January 2023 - Present · 3 yrs 1 mo

Previous Registrations

Joseph Gunnar & CO. LLCBroker

November 2019 - August 2022 · 2 yrs 9 mos

Aegis Capital CORP.Broker

March 2010 - November 2019 · 9 yrs 8 mos

Gunnallen Financial, INCBroker

March 2009 - March 2010 · 1 yr

Next Financial Group, INC.Broker

February 2009 - March 2009 · 1 mo

Maxim Group LLCBroker

September 2005 - February 2009 · 3 yrs 5 mos

First Montauk Securities CORP.Broker

April 2005 - September 2005 · 5 mos

Maxim Group LLCBroker

May 2003 - May 2005 · 2 yrs

S.W. Bach & CompanyBroker

February 2003 - May 2003 · 3 mos

Maxim Group LLCBroker

October 2002 - March 2003 · 5 mos

Investec Ernst & CompanyBroker

September 2002 - October 2002 · 1 mo

Ladenburg Capital Management INC.Broker

March 2002 - July 2002 · 4 mos

Ladenburg, Thalmann & CO., INC.Broker

August 2001 - March 2002 · 7 mos

State Registrations13 states

AZCACOCTFLMDMNNJNVNYOHSCTX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.