Category: Aegis Capital Corp

Teresa Douberly (CRD#: 2477566) was previously registered as a Broker and Investment Advisor. Broker’s Background She entered the securities industry in 1994 and previously worked for Sagepoint Financial, Inc.; Aegis Capital Corp.; MetLife Securities, Inc.; VFinance Investments, Inc.; Commonwealth Financial Network; Hunter Scott Financial, LLC; Royal Alliance Associates, Inc.; Morgan Stanley DW, Inc.; JWGenesis Securities, […]

M.B. Schreiber (CRD#: 103260) is a registered Broker at Aegis Capital Corp. in Red Bank, NJ. Broker’s Background He entered the securities industry in 1982 and previously worked for National Securities Corporation; Newbridge Securities Corporation; Summit Brokerage Services, Inc.; First Montauk Securities Corp.; The Concord Equity Group, LLC; and Mid-State Securities Corp. Current And Past […]

Arkady Ginsburg (CRD#: 5256747) is a registered Broker at Aegis Capital Corp. in New York, NY. Broker’s Background He entered the securities industry in 2006 and previously worked for Rockwell Securities, LLC; and S. W. Bach & Co. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Joseph LaScala, Jr. (CRD#: 3070261) is a dually registered Broker and Investment Advisor at Aegis Capital Corp. in Melville, NY. Broker’s Background He entered the securities industry in 1998 and previously worked for Paulson Investment Company, Inc.; Gunnallen Financial, Inc.; Investec Ernst & Company; and Royce Investment Group, Inc. Current And Past Allegations Of Conduct […]

Johnny Guan (CRD#: 5711977) is a registered Broker at Aegis Capital Corp. in Red Bank, NJ. Broker’s Background He entered the securities industry in 2009 and previously worked for National Securities Corporation and Newbridge Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Joseph Giordano (CRD#: 2278341) is a registered Broker at Acceptus Capital Corp. in Port Washington, NY. Broker’s Background He entered the securities industry in 1993 and previously worked for Gunnallen Financial, Inc.; LH Ross & Company, Inc.; Citigroup Global Markets, Inc.; Lumiere Securities, Inc.; Taj Global Equities, Inc.; Sovereign Equity Management Corp.; A.T. Brod & […]

Daniel O’Neill (CRD#: 1358245) is a previously registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 1985 and previously worked for Ladenburg Thalmann & Co.; Maxim Group, LLC; Wachovia Securities, LLC; Oppenheimer & Co., Inc.; First Montauk Securities Corp.; Janney Montgomery Scott, LLC; First Albany Corporation; Prime Charter LTD; […]

Gilbert Kuta (CRD#: 1084075) is a registered Broker at Aegis Capital Corp. in Timonium, MD. He entered the securities industry in 1982 and previously worked for Capitol Securities Management, Inc.; RBC Capital Markets Corporation; Ferris, Baker Watts, LLC; Smith Barney Shearson, Inc.; Lehman Brothers, Inc.; Painewebber Incorporated; A.G. Edwards & Sons, Inc.; Laidlaw Ansbacher Incorporated; […]

Yann Faho (CRD#: 5397543), also known as Jann Faho and John Faho, is a registered Broker at Aegis Capital Corp. in New York, NY. He entered the securities industry in 2008 and previously worked for Spartan Capital Securities, LLC; Olympia Asset Management, LTD.; National Securities Corporation; PHD Capital; John Thomas Financial; and Mercer Capital LTD. […]

Kishan Parikh (CRD#: 5506554), also known as Sean Parikh, was a previously registered Broker at Aegis Capital Corp. in New York, NY. He entered the securities industry in 2008 and previously worked for Max International Broker/Dealer Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA initiated […]