Michael Nicholas Taglich

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Contact Information

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Disclosures on record.

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.

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Years of Experience

41 years registered in the securities industry

Current & Past Employments

Current

AEGIS CAPITAL CORP.Current·CRD# 15007

RIA

BD

Oyster Bay, NY

April 28, 2026 - Present

AEGIS CAPITAL CORP.Current·CRD# 15007

RIA

BD

1305 Walt Whitman Rd Suite 120, Melville, NY 11747

April 27, 2026 - Present

Past

TAGLICH BROTHERS, INC.Past·CRD# 29102

BD

Cold Spring Harbor, NY

January 30, 1992 - May 21, 2026

TAGLICH BROTHERS, INC.Past·CRD# 29102

RIA

Cold Spring Harbor, NY

April 24, 2026 - May 14, 2026

WEATHERLY SECURITIES CORPORATIONPast·CRD# 11081

BD

New York, NY

June 15, 1987 - February 7, 1992

CIBC WORLD MARKETS CORP.Past·CRD# 630

BD

December 1, 1986 - June 30, 1987

ROONEY, PACE INC.Past·CRD# 6218

BD

October 17, 1985 - December 4, 1986

KUHNS BROTHERS & LAIDLAW, INC.Past·CRD# 1481

BD

May 9, 1985 - October 23, 1985

THE STUART-JAMES COMPANY, INCORPORATEDPast·CRD# 11691

BD

February 21, 1985 - March 18, 1985

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Current Firm

AC

AEGIS CAPITAL CORP.

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

260

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2-3-2025 (2/26/2026)

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

4,218

AUM (Assets Under Management)

$1,777,602,590

Disclosures

Regulatory Event

44

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) Air Industries Group Inc.; 1460 Fifth Avenue, Bay Shore, NY; investment related; publicly traded (NYSEAMERICAN;AIRI); supplier of flight, critical and other sophisticated parts and assemblies to aerospace and ground power companies; Director; Sep 2008; 1/2 hrs per week. 2) Dilon Technologies Inc.; 701 Mariners Row, Ste 200, Newport News, VA; investment related; medical device manufacturer; Director; 2004; 1/2 hr per week. 3) Icagen Inc., 901 Fifth Avenue, Ste 1200 Seattle, WA; investment related; partners with global pharmaceutical and biotech companies with expertise in kinases, GPCR's, ion channels and transporters; Director; May 2013; 1/2 hr per month 4) Mare Island Dry Dock LLC; 1180 Nimitz Ave, Vallejo, CA; investment related; ship and boat building industry; Chairman, Board of Directors; Nov 2013; 2 hrs per month. 5) TBDW Holdings; New York; not investment related; owner; Holding company; Jan1992, 1 hr per month. 6) Rynwood Acquisition Corp. LLC,; New York; not investment related, Real Estate LLC; General Partner; 2022; 1/2 hr per month. 7) Intellinetics, Inc nka IXC Discovery Inc; 2190 Dividend Drive, Columbus, OH; Investment Related, Publicly Traded (NYSE American: INLX); Digital transformation company that allows organizations to manage, store and protect their important documents and data digitally; Director; November 2023; 1/2 hour per week. 8) BioVentrix Investors, LLC; Cold Spring Harbor, NY; investment related; pooled investment fund; Director, Executive Officer; administrative; Feb 2023; 15 mins per month. 9) Taglich Private Equity, LLC; Stowe, VT; investment related; financial sponsor; consultant; Jan 2018; 8 hrs per month. 10) WPS Distribution LLC, St. Petersburg FL; Investment related; Warehouse, fulfillment company, Director, March 2025; 1 hour per month, 0 during securities trading hours 11) WPS Group LLC, Largo FL; Investment related; Cosmetics Mfg, Director; March 2025; 1 hour per month, 1 during securities trading hours 12) Bahamas Wellness Hospital and Clinics LT; Bahamas; non investment related; Board Member; January 2025; 1 hr per month. 13) Fiesta Acquisition LLC; Cold Spring Harbor, NY; investment related; invested in Fiesta Canning Co., Inc.; Director; consultant; 2026, 30 mins per month. 14) Fiesta Investco LLC, Director, Investment Related; invested in Fiesta Canning Co.; 2026; 30 Min per month 15) TPE NM Lease Co; Investment Related; manager; finance capital equipment for National Moldings, Inc.; 2026; 30 Min per month 16) MT Hospitality LLC; Investment Related; Investor; Fast Food; 2026; 30 Min per month 17) Taglich Private Capital LLC, Oyster Bay NY; Not investment related; Entity established for tax purposes, 1099 business conducted through Aegis Capital Corp; Start date: 07-01-2026; 1 hour per month dedicated to business; 30 min per month during securities trading hours.

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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.

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(6/2/2026)

RR

Arizona
(6/19/2026)

RR

Arkansas
(5/28/2026)

RR

California
(4/28/2026)

RR

Colorado
(5/28/2026)

RR

Connecticut
(6/1/2026)

RR

Delaware
(5/21/2026)

RR

District of Columbia
(6/1/2026)

RR

Florida
(5/14/2026)

RR

Georgia
(4/28/2026)

RR

Illinois
(5/12/2026)

RR

Indiana
(5/22/2026)

RR

Iowa
(5/21/2026)

RR

Kansas
(4/28/2026)

RR

Kentucky
(6/12/2026)

RR

Louisiana
(5/21/2026)

RR

Maine
(6/16/2026)

RR

Maryland
(6/18/2026)

RR

Massachusetts
(6/23/2026)

RR

Michigan
(5/26/2026)

RR

Minnesota
(5/21/2026)

RR

Mississippi
(5/6/2026)

RR

Montana
(5/22/2026)

RR

Nevada
(5/21/2026)

RR

New Jersey
(5/14/2026)

RR

New Mexico
(6/5/2026)

RR

New York
(4/28/2026)

IAR

New York
(4/28/2026)

RR

North Carolina
(5/22/2026)

RR

Ohio
(6/15/2026)

RR

Oklahoma
(4/29/2026)

RR

Oregon
(6/12/2026)

RR

Pennsylvania
(5/26/2026)

RR

Rhode Island
(5/26/2026)

RR

South Carolina
(5/28/2026)

RR

South Dakota
(5/21/2026)

RR

Tennessee
(5/14/2026)

RR

Texas
(6/4/2026)

RR

Utah
(6/5/2026)

RR

Vermont
(5/26/2026)

RR

Virgin Islands
(6/5/2026)

RR

Virginia
(6/11/2026)

RR

Washington
(5/13/2026)

RR

Wisconsin
(5/27/2026)

RR

Wyoming
(6/8/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.