RP
Richard F. Parnigoni
AEGIS CAPITAL
WINDHAM, NH
Some features on this profile are disabled
CRD#: 1202321
RP
Professional summary
Richard Frank Parnigoni JR, who also goes by Richard Frank Parnigoni, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Windham, New Hampshire.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 23 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Frank Parnigoni
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) PAR FINANCIAL D/B/A, ALL SECURITIES OFFERED THROUGH AEGIS CAPITAL CORP, 1305 WALT WHITMAN RD., SUITE 120 MELVILLE, NY 11747 2) ACC AGENCY, INC., 1305 WALT WHITMAN RD., STE 120 MELVILLE, NY 11747; INVESTMENT RELATED; GENERAL INSURANCE AGENCY; PRODUCER/AGENT; START DATE: 12-19-2023; 5-10 HOURS PER MONTH DEVOTED TO BUSINESS; 5-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Frank Parnigoni JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Frank Parnigoni JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 21, 2023 - Present
AEGIS CAPITAL CORP.
RIA
BD
CRD#: 15007
WINDHAM, NH
Current
July 21, 2023 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Past
April 25, 2023 - June 2, 2023
PIN WEALTH
RIA
CRD#: 316919
Windham, NH
Past
April 5, 2023 - April 17, 2023
NFSG CORPORATION
RIA
CRD#: 130814
WINDHAM, NH
Past
March 8, 2023 - April 17, 2023
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
April 23, 2021 - March 9, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SALEM, NH
Past
April 23, 2021 - March 9, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Windham, NH
Past
August 16, 2018 - May 21, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOBURN, MA
Past
July 25, 2018 - July 30, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOBURN, MA
Past
July 25, 2018 - May 21, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
WOBURN, MA
Past
October 3, 2016 - July 27, 2018
CETERA ADVISORS LLC
RIA
CRD#: 10299
WOBURN, MA
Past
October 3, 2016 - July 27, 2018
CETERA ADVISORS LLC
BD
CRD#: 10299
WOBURN, MA
Past
January 26, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
WOBURN, MA
Past
January 23, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WOBURN, MA
Past
March 20, 2013 - February 3, 2015
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
WESTBOROUGH, MA
Past
March 25, 2011 - February 3, 2015
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WESTBOROUGH, MA
Past
April 9, 2010 - March 25, 2011
CANTELLA & CO., INC.
RIA
CRD#: 13905
WOBURN, MA
Past
April 8, 2010 - March 25, 2011
CANTELLA & CO., INC.
BD
CRD#: 13905
WOBURN, MA
Past
November 17, 2009 - March 11, 2010
TD WEALTH MANAGEMENT SERVICES INC.
RIA
CRD#: 6940
WELLESLEY, MA
Past
November 17, 2009 - March 11, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
WELLESLEY, MA
Past
November 14, 2007 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
LEXINGTON, MA
Past
November 7, 2007 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
LEXINGTON, MA
Past
August 31, 2004 - April 24, 2006
JESUP & LAMONT SECURITIES CORP
RIA
CRD#: 39056
NEW YORK, NY
Past
August 23, 2004 - April 24, 2006
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
NEW YORK, NY
Past
May 16, 2003 - August 23, 2004
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
April 23, 1998 - May 19, 2003
LEERINK PARTNERS LLC
BD
CRD#: 39011
BOSTON, MA
Past
May 3, 1994 - April 13, 1998
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
September 25, 1990 - May 2, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 10, 1989 - October 1, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 29, 1986 - November 29, 1989
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 25, 1985 - August 5, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
November 23, 1983 - March 11, 1985
FINANCIAL SCIENCES, INC.
BD
CRD#: 6653
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/21/2023)
RR
Connecticut(7/25/2023)
RR
Florida(8/22/2023)
RR
Maine(7/24/2023)
RR
Massachusetts(8/28/2023)
RR
New Hampshire(7/21/2023)
IAR
New Hampshire(7/21/2023)
RR
New Jersey(7/28/2023)
RR
South Carolina(7/21/2023)
RR
Vermont(7/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
