DS
David S. Silberg
AEGIS CAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 1970484
DS
Professional summary
David Stewart Silberg, who also goes by David S Silberg, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Melville, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David S Silberg
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) - RIA
Click below to view David Stewart Silberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Stewart Silberg'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
April 14, 2023 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Current
April 14, 2023 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Past
August 5, 2020 - April 17, 2023
NFSG CORPORATION
RIA
CRD#: 130814
SYOSSET, NY
Past
August 4, 2020 - April 17, 2023
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
SYOSSET, NY
Past
January 14, 2020 - September 2, 2020
MILLENNIAL ADVISERS, LLC.
RIA
CRD#: 170847
NEW YORK, NY
Past
July 20, 2018 - December 31, 2019
MILLENNIAL ADVISERS, LLC.
RIA
CRD#: 170847
NEW YORK, NY
Past
July 17, 2018 - September 2, 2020
ALLIED MILLENNIAL PARTNERS, LLC
BD
CRD#: 16569
Garden City, NY
Past
February 22, 2010 - August 16, 2018
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
MELVILLE, NY
Past
February 19, 2010 - August 16, 2018
AEGIS CAPITAL CORP.
BD
CRD#: 15007
MELVILLE, NY
Past
October 26, 2006 - March 2, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
FARMINGDALE, NY
Past
May 26, 2006 - March 2, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
FARMINGDALE, NY
Past
November 16, 2004 - May 26, 2006
GREAT EASTERN SECURITIES, INC.
BD
CRD#: 2061
NEW YORK, NY
Past
April 2, 2003 - December 9, 2004
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
October 23, 2002 - April 30, 2003
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
September 18, 2002 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
November 13, 2000 - September 18, 2002
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
November 26, 1999 - November 14, 2000
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, NY
Past
July 30, 1999 - November 17, 1999
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
July 30, 1998 - June 25, 1999
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
June 7, 1996 - March 27, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 26, 1989 - March 28, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
September 26, 1989 - March 28, 1996
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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(4/17/2023)
RR
Connecticut(5/15/2023)
RR
Florida(4/17/2023)
RR
Georgia(4/17/2023)
RR
New Jersey(4/17/2023)
IAR
New York(4/14/2023)
RR
New York(4/17/2023)
RR
Oklahoma(6/1/2023)
RR
Pennsylvania(4/18/2023)
IAR
Texas(4/14/2023)
RR
Texas(4/17/2023)
RR
Virginia(5/1/2023)
Exams
State Security Law Exam
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)
PREMIUM
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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 | 41 |
| 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.
