Charles Frederick Marques

Aegis Capital CORP.

15 Years of Experience

7 DisclosuresSells Insurance

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 (7)

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.

Employment Separation After Allegations

October 2024

Customer Dispute

May 2022

Denied

Customer Dispute

August 2016

Denied

Customer Dispute

August 2016

Denied

Customer Dispute

April 2016

Denied

Customer Dispute

December 2008

Closed-No Action

Customer Dispute

March 2008

Denied

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Charles works as a producer/agent for ACC Agency, Inc., a general insurance agency. He dedicates a few hours per week to this activity, both overall and during securities trading hours.