Securities and advisory services offered through Aegis Capital Corp., Member FINRA / SIPC, A Registered Investment Advisor.
810 7th Ave 18th Floor New York NY 10019
Securities Cleared Through RBC Correspondent Services
The information on this website is intended only for persons and entities in those states or jurisdictions in which Aegis Capital Corp., its subsidiaries and/or affiliates are licensed, registered, notice-filed, or exempt from same. By proceeding with your review of this website, you acknowledge that you are a resident of a state or jurisdiction in which Aegis Capital Corp, Inc., its subsidiaries or affiliates are authorized to conduct business, and that you are viewing the information solely for the type of business for which Aegis Capital Corp., its subsidiaries or affiliates, as appropriate, is properly licensed, registered, notice filed, or exempt from same. If you are not a resident of a state in which Aegis Capital Corp., its subsidiaries or affiliates, as appropriate, are authorized to conduct securities, investment advisory, or insurance business, this information is not intended for you, and you are requested not to proceed any further with viewing this website. Aegis Capital Corp., Inc., is registered for securities in all 50 states, the District of Columbia, and Puerto Rico. Aegis Capital Corp., is a federally-regulated Registered Investment Advisor under the authority of the Securities and Exchange Commission, with notice filings in all U.S. states where Aegis Capital Corp, Inc. has an office with a licensed investment advisory representative, or where Aegis Capital Corp, Inc. has over five resident fee-based investment advisory clients. Aegis Capital Corp. is exempt from notice filing in all other states.
Aegis Capital Corp
Our Commitment to Your Privacy: It is the policy of Aegis Capital, to protect the
confidentiality and security of information we collect about our customers. Non-public
information (“Information”) about you will not be shared with third parties without your
consent, except for the specified purposes described below. This notice describes the
Information we may gather from you and the circumstances under which we may share it.
Our clearing firms RBC Wealth Management, have separate privacy policies, which explain their privacy practices.
Why We Collect and How We Use Information: Aegis Capital limits the collection
and use of information to the minimum required to offer and deliver products and
services to you. Such services include maintaining your account(s), processing transactions and administering our business.
How We Gather Information: We get most information directly from you, when you
apply for, access and use financial products and services offered by Aegis Capital,
whether in person, by telephone or electronically. We may verify this information or get
additional information from consumer reporting agencies or public sources. This
Information may relate to your finances, employment, avocations or other personal
characteristics, as well as transactions and interactions with our clearing firms, others or us.
How We Protect Information: Our employees are required to protect the confidentiality
of information and to comply with established policies. They may access information
only when there is an appropriate reason to do so, such as to administer our products and
services. We also maintain physical, electronic and procedural safeguards to protect
Disclosure of Information: We may disclose any information to, or as directed by our
clearing firms, or when we believe it necessary for the conduct of our business, or where
required by law. Information may be disclosed for audit and research purposes, to
attorneys or other professionals, or to law enforcement and regulatory agencies, for
example, to help us prevent fraud or money laundering. In addition, we may disclose
information to third party service providers, (i) to enable them to provide business
services for us and our clearing firm, such as performing computer related or data
maintenance or processing of services, (ii) to facilitate the processing of transactions
requested by you. We will not make any disclosures of information to other companies
who may want to sell their products or services to you. We do not sell customer lists,
and we will not sell your name to another company for marketing purposes. It is the policy of Aegis Capital, to require all third parties, other than our clearing firms, that receive information to sign strict confidentiality agreements.
What are my rights to opt out of disclosure and how can I exercise them:
In certain circumstances, the law allows you to “opt out” of our sharing nonpublic
personal information about you with affiliated and nonaffiliated companies; that is, you
may direct us not to make such disclosures. We do not currently share information about
you with any affiliate or third party that triggers this “opt out” right; therefore, there is no
need for you to “opt out”. If in the future we desire to disclose your information in a way
that is inconsistent with this policy, we will notify you in advance and provide you with the opportunity to “opt out” of such disclosure.
Access To and Correction of Information: Please contact us, if you desire to review
any file we may maintain of your personal information. If you notify us that the
information is incorrect, we will review it and amend our records if appropriate. If we do
not agree that the information is incorrect, you may submit a short statement of dispute,
which we will include in future disclosures of the disputed information. Information
collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
notice complies with SEC regulations regarding consumer privacy. You may have
additional rights under other foreign or domestic laws that may apply to you.