GS
Gerald R. Sharpe
AEGIS CAPITAL
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2109210
GS
Professional summary
Gerald Richard Sharpe JR, who also goes by Gerald Ricard Sharpe Jr, Gerry Sharpe, is a registered financial professional currently at AEGIS CAPITAL CORP. located in Red Bank, New Jersey.
Gerald is registered as a RR (Registered Representative) and started their career in finance in 1991. Gerald has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gerald Ricard Sharpe Jr | Gerry Sharpe
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 Gerald Richard Sharpe JR'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
August 5, 2016 - Present
AEGIS CAPITAL CORP.
Office #1: Union Square 514 Route 35 South, Red Bank, NJ 07701RIA
BD
CRD#: 15007
Red Bank, NJ
Past
November 19, 2012 - August 8, 2016
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
RED BANK, NJ
Past
October 22, 2004 - November 20, 2012
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
RED BANK, NJ
Past
June 17, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
BD
CRD#: 37920
BOCA RATON, FL
Past
November 21, 2000 - June 18, 2004
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
December 4, 1991 - November 22, 2000
J.W. BARCLAY & CO., INC.
BD
CRD#: 23350
WOODBRIDGE, NJ
Past
September 5, 1991 - December 17, 1991
PARAGON CAPITAL MARKETS, INC.
BD
CRD#: 18555
EAST HANOVER, NJ
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
Alabama(8/20/2025)
RR
Arizona(8/5/2016)
RR
California(8/5/2016)
RR
Colorado(9/6/2016)
RR
Connecticut(8/25/2016)
RR
Delaware(10/12/2016)
RR
Florida(8/5/2016)
RR
Georgia(8/5/2016)
RR
Illinois(8/8/2016)
RR
Iowa(8/25/2016)
RR
Maryland(8/5/2016)
RR
Michigan(8/5/2016)
RR
Minnesota(8/25/2016)
RR
Mississippi(1/17/2023)
RR
Missouri(8/5/2016)
RR
Nevada(11/28/2022)
RR
New Jersey(8/25/2016)
RR
New Mexico(1/3/2018)
RR
New York(9/12/2016)
RR
North Carolina(11/10/2016)
RR
Ohio(8/5/2016)
RR
Pennsylvania(8/5/2016)
RR
Rhode Island(8/5/2016)
RR
South Carolina(8/26/2016)
RR
Texas(8/5/2016)
RR
Utah(6/21/2019)
RR
Virginia(8/5/2016)
RR
Washington(10/12/2016)
RR
Wisconsin(9/12/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
