JC
Joseph A. Cordi
AEGIS CAPITAL
New York, NY 10105
Some features on this profile are disabled
CRD#: 1397664
JC
Professional summary
Joseph Anthony Cordi SR, who also goes by Joseph Anthony Cordi, is a registered financial professional currently at AEGIS CAPITAL CORP. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1985. Joseph has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph Anthony Cordi
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Cordi SR'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 18, 2012 - Present
AEGIS CAPITAL CORP.
Office #1: 1345 Avenue Of The Americas 27th Floor, New York, NY 10105RIA
BD
CRD#: 15007
New York, NY
Past
November 22, 2006 - November 19, 2012
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
NEW YORK, NY
Past
October 8, 2004 - November 27, 2006
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, NY
Past
January 28, 2000 - October 29, 2004
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
September 4, 1997 - February 18, 2000
J.W. BARCLAY & CO., INC.
BD
CRD#: 23350
WOODBRIDGE, NJ
Past
February 13, 1997 - September 9, 1997
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
BD
CRD#: 37710
NEW YORK, NY
Past
May 2, 1996 - March 14, 1997
SHAMUS GROUP, INC.
BD
CRD#: 5036
Past
June 16, 1993 - May 15, 1996
BLUESTONE CAPITAL CORP.
BD
CRD#: 13516
NEW YORK, NY
Past
May 2, 1989 - July 1, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 12, 1987 - May 1, 1989
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
October 9, 1986 - November 18, 1987
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
Past
August 20, 1985 - October 14, 1986
NORBAY SECURITIES INC.
BD
CRD#: 5431
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.
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
Arizona(1/2/2013)
RR
California(12/18/2012)
RR
Colorado(1/2/2013)
RR
Connecticut(1/2/2013)
RR
Delaware(1/2/2013)
RR
District of Columbia(1/2/2013)
RR
Florida(12/18/2012)
RR
Georgia(1/2/2013)
RR
Illinois(1/2/2013)
RR
Indiana(4/15/2016)
RR
Iowa(4/3/2018)
RR
Kentucky(8/12/2022)
RR
Louisiana(8/28/2024)
RR
Maryland(12/18/2012)
RR
Massachusetts(1/2/2013)
RR
Michigan(1/2/2013)
RR
Minnesota(1/18/2013)
RR
Mississippi(1/18/2013)
RR
Missouri(1/3/2013)
RR
Nebraska(7/11/2024)
RR
Nevada(1/23/2013)
RR
New Hampshire(2/10/2020)
RR
New Jersey(12/18/2012)
RR
New Mexico(2/2/2016)
RR
New York(12/18/2012)
RR
North Carolina(1/2/2013)
RR
Ohio(1/4/2013)
RR
Oregon(1/2/2013)
RR
Pennsylvania(1/4/2013)
RR
Puerto Rico(4/6/2022)
RR
South Carolina(1/31/2013)
RR
Texas(1/4/2013)
RR
Utah(2/16/2023)
RR
Vermont(2/7/2024)
RR
Virginia(12/18/2012)
RR
Washington(1/17/2013)
RR
Wisconsin(1/3/2013)
RR
Wyoming(1/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
