GC
Guy G. Clemente
AEGIS CAPITAL
WHITESTONE, NY
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CRD#: 1222597
GC
Professional summary
Guy Gregory Clemente is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Whitestone, New York.
Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Guy has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Clemente Capital Management LLC ("CCMLLC") 2020 Parsons Blvd. FL 1 Whitestone, NY 11357; Investment Related; Managing member, entity established for tax and investment purposes; Start date: 06/23/2005; 2 hours per month devoted to business; 0 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Guy Gregory Clemente's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Guy Gregory Clemente'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
December 22, 2023 - Present
AEGIS CAPITAL CORP.
RIA
BD
CRD#: 15007
WHITESTONE, NY
Current
December 21, 2023 - Present
AEGIS CAPITAL CORP.
Office #1: 1345 Avenue Of The Americas 27th Floor, New York, NY 10105RIA
BD
CRD#: 15007
New York, NY
Past
January 4, 2013 - January 3, 2024
ANDREW GARRETT INC.
RIA
CRD#: 29931
NEW YORK, NY
Past
February 27, 2007 - January 2, 2024
ANDREW GARRETT INC.
BD
CRD#: 29931
NEW YORK, NY
Past
February 21, 2003 - February 28, 2007
S.W. BACH & COMPANY
BD
CRD#: 43522
NEW YORK, NY
Past
May 24, 1999 - February 24, 2003
THE THORNWATER COMPANY, L.P.
BD
CRD#: 36195
NEW YORK, NY
Past
July 24, 1997 - May 12, 1999
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
December 10, 1996 - June 18, 1997
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
January 23, 1996 - January 13, 1997
GLOBAL CAPITAL MARKETS, LLC
BD
CRD#: 16191
MELVILLE, NY
Past
June 1, 1995 - January 16, 1996
COMMONWEALTH ASSOCIATES
BD
CRD#: 20833
NEW YORK, NY
Past
July 31, 1993 - June 12, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 3, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 25, 1984 - June 29, 1984
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
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
Alabama(3/12/2025)
RR
Arizona(2/15/2024)
RR
Arkansas(2/8/2024)
RR
California(12/22/2023)
RR
Connecticut(3/5/2024)
RR
Florida(3/7/2024)
RR
Georgia(7/18/2024)
RR
Idaho(12/26/2023)
RR
Illinois(2/26/2024)
RR
Indiana(1/23/2024)
RR
Iowa(1/9/2025)
RR
Kansas(1/17/2025)
RR
Louisiana(8/28/2024)
RR
Michigan(10/9/2024)
RR
Minnesota(4/3/2024)
RR
Nevada(4/7/2025)
RR
New Mexico(4/3/2024)
RR
New York(1/17/2024)
RR
North Carolina(2/13/2024)
RR
North Dakota(12/21/2023)
RR
Oklahoma(7/12/2024)
RR
Pennsylvania(4/10/2024)
RR
South Carolina(1/22/2024)
RR
South Dakota(1/23/2024)
RR
Tennessee(4/29/2025)
IAR
Texas(12/22/2023)
RR
Texas(1/2/2024)
RR
Utah(4/28/2025)
RR
Virginia(2/27/2024)
RR
Washington(5/15/2024)
RR
West Virginia(8/5/2024)
RR
Wisconsin(10/14/2024)
RR
Wyoming(3/13/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
