PF
Phillip G. Farmer
AEGIS CAPITAL
Newark, DE
Some features on this profile are disabled
CRD#: 2306865
PF
Professional summary
Phillip G Farmer, who also goes by Phillip George Farmer, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Newark, Delaware.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Phillip has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillip George Farmer
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) FARMER FINANCIAL LLC DBA SECURITIES OFFERED THROUGH AEGIS CAPITAL CORP 2) ACC CORP.,1305 WALT WHITMAN RD., SUITE 120 MELVILLE, NY11747; INVESTMENT RELATED; AGENT, PRODUCER; GENERAL INSURANCE AGENCY; START DATE: 01/13/2022; 5-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip G Farmer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip G Farmer'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
July 23, 2021 - Present
AEGIS CAPITAL CORP.
RIA
BD
CRD#: 15007
Newark, DE
Current
July 23, 2021 - Present
AEGIS CAPITAL CORP.
Office #1: 1345 Avenue Of The Americas 27th Floor, New York, NY 10105Office #2: 1345 Avenue Of The Americas 27th Floor, New York, NY 10105RIA
BD
CRD#: 15007
New York, NY
Past
December 7, 2015 - August 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILMINGTON, DE
Past
December 7, 2015 - August 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILMINGTON, DE
Past
February 17, 2009 - December 28, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
GREENVILLE, DE
Past
February 17, 2009 - January 6, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
GREENVILLE, DE
Past
April 2, 2007 - February 18, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WILMINGTON, DE
Past
April 2, 2007 - February 18, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WILMINGTON, DE
Past
August 25, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WILMINGTON, DE
Past
July 31, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
WILMINGTON, DE
Past
March 6, 1995 - August 3, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 12, 1993 - March 24, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 21, 1992 - March 30, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(7/23/2021)
IAR
Alabama(9/8/2021)
RR
California(7/27/2021)
RR
Delaware(7/30/2021)
IAR
Delaware(7/30/2021)
RR
Florida(7/23/2021)
IAR
Florida(11/5/2021)
RR
Georgia(7/28/2021)
IAR
Georgia(2/1/2024)
RR
Kentucky(7/23/2021)
RR
Maryland(7/26/2021)
IAR
Maryland(8/30/2021)
RR
Massachusetts(2/12/2024)
RR
Minnesota(8/9/2021)
IAR
Minnesota(9/20/2021)
RR
Mississippi(7/23/2021)
RR
New Jersey(7/23/2021)
IAR
New Jersey(9/16/2021)
RR
New York(8/1/2021)
IAR
New York(8/2/2021)
RR
North Carolina(8/5/2021)
IAR
North Carolina(8/30/2021)
RR
Pennsylvania(8/2/2021)
IAR
Pennsylvania(9/3/2021)
RR
South Carolina(8/3/2021)
IAR
South Carolina(9/17/2021)
IAR
Texas(7/23/2021)
RR
Texas(10/14/2021)
RR
Virginia(8/2/2021)
IAR
Virginia(9/23/2021)
Exams
State Security Law Exam
State Security Law 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.
