ST
Samuel N. Tenzer
AEGIS CAPITAL
Hillsdale, NJ
Some features on this profile are disabled
CRD#: 2270881
ST
Professional summary
Samuel Noah Tenzer is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Hillsdale, New Jersey.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Samuel has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 55 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.
ACC Agency, 1305 Walt Whitman Rd., Suite 120 Melville, NY 11747; Investment Related; General Insurance Agency, Producer, Agent; Start date: 06/12/2024; 5-10 per month dedicated to business, including securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Noah Tenzer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Noah Tenzer'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
May 1, 2023 - Present
AEGIS CAPITAL CORP.
RIA
BD
CRD#: 15007
Hillsdale, NJ
Current
April 28, 2023 - Present
AEGIS CAPITAL CORP.
Office #1: 2517 State Hwy 35 Bldg C Suite 201, Manasquan, NJ 08736RIA
BD
CRD#: 15007
MANASQUAN, NJ
Past
July 22, 2022 - May 1, 2023
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Paramus, NJ
Past
December 7, 2020 - May 1, 2023
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
PARAMUS, NJ
Past
December 3, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
PARAMUS, NJ
Past
February 4, 2016 - December 11, 2020
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
SADDLE BROOK, NJ
Past
February 3, 2016 - December 11, 2020
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SADDLE BROOK, NJ
Past
October 10, 2011 - March 2, 2016
MORGAN STANLEY
RIA
CRD#: 149777
RIDGEWOOD, NJ
Past
October 10, 2011 - March 2, 2016
MORGAN STANLEY
BD
CRD#: 149777
RIDGEWOOD, NJ
Past
October 14, 2008 - October 18, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
September 26, 2008 - October 18, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
April 10, 2007 - April 29, 2008
SPECTRUM TRADING, LLC
BD
CRD#: 132637
NEW YORK, NY
Past
May 22, 2006 - July 25, 2006
SPECTRUM TRADING, LLC
BD
CRD#: 132637
NEW YORK, NY
Past
October 21, 2003 - September 27, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
October 16, 2002 - October 21, 2003
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
Past
July 11, 2002 - October 8, 2002
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
May 9, 2002 - July 12, 2002
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
Past
December 8, 2000 - November 21, 2001
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
October 5, 1998 - April 19, 2000
ON-SITE TRADING, INC.
BD
CRD#: 30271
GREAT NECK, NY
Past
July 16, 1998 - October 12, 1998
CORINTHIAN PARTNERS, L.L.C.
BD
CRD#: 38912
NEW YORK, NY
Past
July 7, 1997 - July 15, 1998
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
July 12, 1993 - June 30, 1997
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
September 14, 1992 - July 12, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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
Florida(5/1/2023)
RR
New Jersey(5/1/2023)
IAR
New Jersey(5/1/2023)
RR
New Mexico(5/22/2025)
RR
New York(5/2/2023)
RR
North Carolina(5/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/10/1998
Limited Representative-Equity Trader ExamGeneral 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.
