CRD #16033 · FINRA BrokerCheck + SEC IAPD

Aegis Investments, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Aegis Investments, Inc. ranks #2,516 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #18 of 42 on the same disclosure sort used on the state browse page. Aegis Investments, Inc. carries 2 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
2
disclosures
#2,516 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16033 Aegis Investments, Inc.

Aegis Investments, Inc. · Grade B · 2 disc · 1.00/office · Small firm

  • CRD 16033
  • GRADE B
  • DISC 2
  • REG 1
  • ARB 1
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.00
  • RANK #2,516 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00Aegis Investments, … (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

Aegis Investments, Inc. ranks #2,516 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

2 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

1 action

50% of all disclosures

Disclosures per office

1.00 per office

2 ÷ 2 offices

Aegis Investments, Inc. 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 24% 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%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 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 1
Arbitrations 1
Civil Events 0
Total 2

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

Disclosure category share

Regulatory 1 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
St Louis Park, MN, 55416
Formed
12/07/1984
State of Formation
Minnesota
CRD Number
16033
SEC Number
33137

Elevated disclosures per office

Aegis Investments, Inc. in the heavier-disclosure third

Aegis Investments, Inc. carries 2 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#2,516 of 20,055). Mix is 1 regulatory, 1 arbitration, and 0 civil (50% regulator share).

Aegis Investments, Inc. runs 1.00 disclosures per branch office (cleaner than only 76% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Minnesota cohort · 0.15× state average

Aegis Investments, Inc. sits below the Minnesota disclosure average

Aegis Investments, Inc. reports 2 BrokerCheck disclosures, 0.15× the Minnesota average of 13.1, lighter than most of the 42 graded firms filed there.

In Minnesota, 18 firms carry Grade A and 1 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 Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Aegis Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Aegis Investments, Inc. ranks #2,516 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #18 of 42 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 B mean for Aegis Investments, Inc.?
A grade of B reflects Aegis Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Aegis Investments, Inc. have?
Aegis Investments, Inc. has 2 total FINRA disclosures, including 1 regulatory event, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Aegis Investments, Inc.?
Aegis Investments, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in MN (Small 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 Investments, Inc.'s disciplinary record?
You can verify Aegis Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16033. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on BrokerCheck. For Aegis Investments, Inc., the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Aegis Investments, Inc. 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 Investments, Inc. carries 2 disclosures across 2 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.