CRD #15007 · FINRA BrokerCheck + SEC IAPD

Aegis Capital Corp.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Aegis Capital Corp. ranks #112 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #24 of 868 on the same disclosure sort used on the state browse page. Aegis Capital Corp. carries 45 BrokerCheck disclosures across 72 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
72
branch offices
45
disclosures
#112 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 15007 Aegis Capital Corp.

Aegis Capital Corp. · Grade C · 45 disc · 0.63/office · Mid-sized firm

  • CRD 15007
  • GRADE C
  • DISC 45
  • REG 44
  • ARB 1
  • CIV 0
  • BRANCH 72
  • PER-OFF 0.63
  • RANK #112 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Andrew Garrett Inc. (0.68 disc/office)

Andrew Garrett Inc.0.68U.S. Bancorp Investment…0.54Crews & Associates, Inc.0.53Aegis Capital Corp. (this)0.63
Disclosures per office among mid-sized firm peers (lower is cleaner)

Aegis Capital Corp. ranks #112 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.63 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

72 offices

FINRA: Medium firm

Total disclosures

45 events

On FINRA BrokerCheck

Regulatory events

44 actions

98% of all disclosures

Disclosures per office

0.63 per office

45 ÷ 72 offices

Aegis Capital Corp. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 42% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 44
Arbitrations 1
Civil Events 0
Total 45

Counts for Aegis Capital Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 44 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10105
Formed
01/15/1984
State of Formation
New York
CRD Number
15007
SEC Number
31616

Regulator-heavy mix

Aegis Capital Corp. in the heavier-disclosure third

Aegis Capital Corp. carries 45 BrokerCheck disclosures across 72 branch offices - a heavier-third raw book among graded firms (#112 of 20,055). Regulator-initiated events are 98% of the book (44 regulatory / 1 arbitration / 0 civil).

98% of Aegis Capital Corp.'s 45 disclosures are regulator-initiated (44 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Aegis Capital Corp.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 5.14× state average

Aegis Capital Corp. sits above the New York disclosure average

Aegis Capital Corp. reports 45 BrokerCheck disclosures, 5.14× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Aegis Capital Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Aegis Capital Corp. ranks #112 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #24 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Aegis Capital Corp.?
A grade of C reflects Aegis Capital Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 45 total disclosures across 72 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Aegis Capital Corp. have?
Aegis Capital Corp. has 45 total FINRA disclosures, including 44 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Aegis Capital Corp.?
Aegis Capital Corp. operates 72 branch offices and is classified by FINRA as a medium firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Aegis Capital Corp.'s disciplinary record?
You can verify Aegis Capital Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 15007. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Aegis Capital Corp.'s 45 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Aegis Capital Corp. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Aegis Capital Corp. carries 45 disclosures across 72 branch offices (about 0.63 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Aegis Capital Corp., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.