JV
Joshua W. Van Dress
Some features on this profile are disabled
CRD#: 2443983
JV
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.
Joshua Wingendund Van Dress, who also goes by Joshua Wingendond Vandress, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1998. Joshua had worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joshua Wingendond Vandress
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) HELIOS CAPITAL ADVISORS, LLC, MIDDLE VILLAGE, NY; INVESTMENT RELATED; STARTED 9/2020; OWNER/PARTNER; DBA FOR SECURITIES BUSINESS WITH FPCP AND INVESTMENT ADVISORY BUSINESS WITH MHA FINANCIAL; 65 HOURS/WEEK DURING TRADING. 2) MHA FINANCIAL CORP, RIDGEWOOD, NEW JERSEY; INVESTMENT RELATED; STARTED 6/2021; INVESTMENT ADVISOR REPRESENTATIVE; INVESTMENT ADVISORY SERVICES; 60 HOURS/WEEK DURING TRADING. 3) FOUR POINTS INSURANCE AGENCY, NEW YORK, NEW YORK; INVESTMENT RELATED; STARTED 6/2021; DUAL REPRESENTATIVE FOR VARIABLE INSURANCE WITH FPCP. 4) SELF, MIDDLE VILLAGE, NEW YORK; INVESTMENT RELATED; STARTED 2/2020; NON-VARIABLE INSURANCE. 5) AMERICAN NATIONAL INSURANCE COMPANY, SPRINGFIELD, MO; INVESTMENT RELATED; STARTED FEBRUARY 2022; AGENT; NON-VARIABLE INSURANCE; 30 HOURS/WEEK DURING TRADING 6) NUMERICAL FINANCIAL SOLUTIONS, LLC, MIDDLE VILLAGE, NEW YORK; STARTED SEPTEMBER 2022; FOUNDER; TO COMBINE 3 DEVELOPERS, INCLUDING MYSELF, TO PROCESS SOFTWARE USING ARTIFICIAL INTELLIGENCE TO HELP HELIOS AND OTHER COMPANIES GAIN AN EDGE IN THE MARKETPLACE OF FINANCE; 5 HOURS/WEEK.
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
August 5, 2025 - November 11, 2025
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
MELVILLE, NY
Past
August 29, 2023 - April 15, 2024
PAULSON INVESTMENT ADVISORS, LLC
RIA
CRD#: 304328
PORTLAND, OR
Past
July 20, 2023 - April 15, 2024
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
NEW YORK, NY
Past
April 5, 2023 - July 24, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
June 4, 2021 - January 31, 2023
MHA FINANCIAL CORP
RIA
CRD#: 7462
MIDDLE VILLAGE, NY
Past
June 4, 2021 - January 31, 2023
FOUR POINTS CAPITAL PARTNERS LLC
BD
CRD#: 43149
NEW YORK, NY
Past
November 18, 2020 - June 10, 2021
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
MIDDLE VILLAGE, NY
Past
November 18, 2020 - June 10, 2021
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
MIDDLE VILLAGE, NY
Past
March 3, 2020 - June 17, 2021
SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC
RIA
CRD#: 154632
NEW YORK, NY
Past
March 2, 2020 - December 17, 2020
SPARTAN CAPITAL SECURITIES, LLC
BD
CRD#: 146251
NEW YORK, NY
Past
June 27, 2017 - August 9, 2018
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
February 27, 2017 - February 26, 2020
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
January 3, 2017 - February 28, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
EAST HILLS, NY
Past
August 23, 2016 - December 14, 2016
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
NEW YORK, NY
Past
January 4, 2016 - December 14, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
NEW YORK, NY
Past
December 22, 2015 - September 12, 2016
INTEGRATED ADVISORS NETWORK LLC
RIA
CRD#: 171991
waco, TX
Past
October 4, 2012 - August 11, 2014
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
November 11, 2005 - August 11, 2014
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
October 11, 2005 - November 1, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
June 2, 2004 - November 4, 2005
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
August 19, 2002 - June 24, 2004
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
Past
July 5, 2001 - August 23, 2002
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
November 22, 1999 - July 3, 2001
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
Past
May 8, 1998 - December 13, 1999
HOBBS MELVILLE SECURITIES CORP.
BD
CRD#: 40133
NEW YORK, NY
Past
April 29, 1998 - May 11, 1998
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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
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.
