MP
Mark D. Panfil
AEGIS CAPITAL
ROLLING HILLS ESTATES, CA 90274
Some features on this profile are disabled
CRD#: 1875773
MP
Professional summary
Mark Douglas Panfil is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Rolling Hills Estates, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.
1) Queens Gaming Collective, Inc., 2455 Chelsea Pl. Santa Monica, CA 90404; Investment related; Women's gaming co-op; Investor ($25k); 0 hours devoted to business. 2) SKVI, El Segundo, CA 90245; Investment related; Underwear company; Investor (15% equity, $100k); 0 hours devoted to business. 3) Blue Anchor Wealth Management, 28441 Highridge Rd., #102 Rolling Hills Estates, CA 90274; DBA Securities offered through Aegis Capital Corp. 4) ACC Corp., 1305 Walt Whitman Rd. Suite 120 Melville, NY 11747; Investment related; Agent/Producer, General Insurance Agency; Start date: 10/26/2022; 5-10 hours devoted to business during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Douglas Panfil's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Douglas Panfil'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
October 7, 2022 - Present
AEGIS CAPITAL CORP.
Office #1: 28441 Highridge Rd Suite #102, Rolling Hills Estates, CA 90274RIA
BD
CRD#: 15007
ROLLING HILLS ESTATES, CA
Current
October 7, 2022 - Present
AEGIS CAPITAL CORP.
Office #1: 28441 Highridge Rd Suite #102, Rolling Hills Estates, CA 90274RIA
BD
CRD#: 15007
ROLLING HILLS ESTATES, CA
Past
March 23, 2016 - November 4, 2022
MORGAN STANLEY
RIA
CRD#: 149777
El Segundo, CA
Past
March 22, 2016 - November 4, 2022
MORGAN STANLEY
BD
CRD#: 149777
El Segundo, CA
Past
March 27, 2009 - April 15, 2016
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
EL SEGUNDO, CA
Past
March 26, 2009 - April 15, 2016
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
EL SEGUNDO, CA
Past
July 1, 2003 - March 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROLLING HILLS ESTATES, CA
Past
July 1, 2003 - March 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROLLING HILLS ESTATES, CA
Past
June 13, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
ROLLING HILLS ESTATES, CA
Past
June 13, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 8, 1997 - June 26, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ROLLING HILLS ESTATES, CA
Past
July 31, 1993 - June 26, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 9, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 18, 1988 - May 17, 1990
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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(10/7/2022)
RR
Arizona(10/7/2022)
RR
California(10/7/2022)
IAR
California(10/10/2022)
RR
Colorado(10/7/2022)
RR
Delaware(10/17/2022)
RR
Florida(10/17/2022)
RR
Georgia(10/7/2022)
RR
Illinois(10/26/2022)
RR
Indiana(10/12/2022)
RR
Kansas(10/7/2022)
RR
Louisiana(11/7/2022)
RR
Maryland(10/7/2022)
RR
Massachusetts(10/7/2022)
RR
Minnesota(1/23/2023)
RR
Mississippi(10/7/2022)
RR
Missouri(10/7/2022)
RR
Montana(10/7/2022)
RR
Nevada(10/7/2022)
RR
New Jersey(10/7/2022)
RR
New York(10/7/2022)
RR
North Carolina(8/17/2023)
RR
Ohio(8/5/2024)
RR
Oregon(10/11/2022)
RR
Pennsylvania(10/7/2022)
RR
Rhode Island(10/7/2022)
RR
South Carolina(10/7/2022)
RR
Texas(10/7/2022)
IAR
Texas(10/7/2022)
RR
Washington(11/4/2022)
RR
Wisconsin(10/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
