RY
Robert R. Yasnis
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CRD#: 2399141
RY
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Ruvein Yasnis was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1993. Robert had worked at 21 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 26, 2022 - October 12, 2022
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
July 21, 2021 - July 21, 2022
MONMOUTH CAPITAL MANAGEMENT LLC
BD
CRD#: 290248
POINT PLEASANT BEACH, NJ
Past
October 23, 2017 - August 3, 2021
WORDEN CAPITAL MANAGEMENT LLC
BD
CRD#: 148366
New York, NY
Past
January 3, 2014 - November 9, 2017
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
MELVILLE, NY
Past
February 28, 2013 - July 9, 2013
ARISTON WEALTH MANAGEMENT, L.P.
RIA
CRD#: 158220
NEW YORK, NY
Past
October 4, 2012 - January 31, 2014
WINDSOR STREET CAPITAL, LP
BD
CRD#: 34171
NEW YORK, NY
Past
November 4, 2011 - October 3, 2012
BUCKMAN ADVISORY GROUP LLC
RIA
CRD#: 131688
LITTLE SILVER, NJ
Past
April 15, 2010 - October 3, 2012
BUCKMAN, BUCKMAN & REID, INC.
BD
CRD#: 23407
NEW YORK, NY
Past
November 9, 2009 - April 13, 2010
DMK ADVISOR GROUP, INC.
BD
CRD#: 41067
LUTZ, FL
Past
February 16, 2007 - July 22, 2009
HALLMARK INVESTMENTS, INC.
BD
CRD#: 135003
NEW CITY, NY
Past
April 2, 2003 - March 5, 2007
MARQUIS FINANCIAL SERVICES, INC.
BD
CRD#: 20733
BROOKLYN, NY
Past
October 14, 2002 - March 19, 2003
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
BIRMINGHAM, AL
Past
September 17, 2002 - October 7, 2002
SAXONY SECURITIES, INC.
BD
CRD#: 115547
ST. LOUIS, MO
Past
June 5, 1999 - September 27, 2002
BUCKMAN, BUCKMAN & REID, INC.
BD
CRD#: 23407
LITTLE SILVER, NJ
Past
December 2, 1997 - January 28, 1998
G.F.B. SECURITIES, INC.
BD
CRD#: 36381
EAST MEADOW, NY
Past
November 12, 1997 - December 5, 1997
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
July 10, 1997 - October 15, 1997
KSH INVESTMENT GROUP, INC.
BD
CRD#: 41817
GREAT NECK, NY
Past
April 28, 1995 - June 13, 1997
JOSEPH DILLON & COMPANY INC.
BD
CRD#: 35220
GREAT NECK, NY
Past
November 11, 1994 - April 11, 1995
FLETCHER AND FARADAY, INC.
BD
CRD#: 29769
HEMPSTEAD, NY
Past
October 17, 1994 - November 17, 1994
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
BD
CRD#: 23504
LOS ANGELES, CA
Past
March 16, 1994 - September 9, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 19, 1993 - March 8, 1994
FIRST ASSET MANAGEMENT, INC.
BD
CRD#: 17341
GARDEN CITY, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
