Category: Aegis Capital Corp

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 […]

Corey Alexander Johnson (CRD#: 5752206) is a registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 2010 and previously worked for Global Arena Capital Corp. and Prestige Financial Center, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA sanctioned Corey […]

Anthony Tricarico (CRD#: 1047416) was an Investment Advisor working for Aegis Capital Corp. He entered the securities industry in 1982. Anthony Tricarico previously worked for Gunnallen Financial, Inc.; The Concord Equity Group, LLC; Fahnestock & Co., Inc.; Josephthal & Co., Inc.; Robb Peck McCooey Clearing Corporation; Oscar Gruss & Son, Inc.; Shamus Group, Inc.; Investors […]

Thomas Edison Kelly, Jr. (CRD #2877415) was a Financial Advisor at Aegis Capital Corp. in New York, NY. Thomas Kelly has been in the securities industry since 1997 and previously worked at First Republic Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Thomas Kelly has been the subject of […]

Thomas Duggan (CRD #2757615) is a Financial Advisor at Aegis Capital Corp. in Melville, NY. Thomas Duggan has been in the securities industry since 1996 and previously worked at Maxim Group LLC and Investec Ernst and Company. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Thomas Duggan has been the […]