DD
Dominick J. Diorio
AEGIS CAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2447817
DD
Professional summary
Dominick Joseph Diorio JR, who also goes by Dominick Joseph Diorio, is a registered financial professional currently at AEGIS CAPITAL CORP. located in Melville, New York.
Dominick is registered as a RR (Registered Representative) and started their career in finance in 1995. Dominick has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dominick Joseph Diorio
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 Dominick Joseph Diorio 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
July 15, 2011 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Past
November 3, 2010 - July 15, 2011
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
NEW YORK, NY
Past
March 1, 2007 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
BD
CRD#: 30407
MELVILLE, NY
Past
April 27, 2004 - March 1, 2007
S.W. BACH & COMPANY
BD
CRD#: 43522
PORT WASHINGTON, NY
Past
April 27, 2001 - April 27, 2004
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
November 18, 1999 - May 30, 2001
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
May 19, 1997 - October 19, 1999
TASIN & COMPANY, INC.
BD
CRD#: 30709
HAUPPAUGE, NY
Past
December 20, 1996 - January 4, 1997
DUKE & CO., INC.
BD
CRD#: 8035
NEW YORK, NY
Past
October 21, 1996 - November 25, 1996
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
Past
October 5, 1995 - August 26, 1996
LANDMARK INTERNATIONAL EQUITIES
BD
CRD#: 25098
WESTBURY, 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.
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(7/15/2011)
RR
Alaska(12/17/2012)
RR
Arizona(12/12/2011)
RR
Arkansas(7/15/2011)
RR
California(7/15/2011)
RR
Colorado(9/26/2012)
RR
Connecticut(7/15/2011)
RR
Florida(7/15/2011)
RR
Georgia(7/15/2011)
RR
Idaho(7/15/2011)
RR
Illinois(7/15/2011)
RR
Indiana(7/15/2011)
RR
Iowa(7/15/2011)
RR
Kansas(7/15/2011)
RR
Kentucky(7/15/2011)
RR
Louisiana(7/15/2011)
RR
Maine(7/15/2011)
RR
Maryland(7/15/2011)
RR
Massachusetts(7/15/2011)
RR
Michigan(7/15/2011)
RR
Minnesota(7/15/2011)
RR
Mississippi(7/15/2011)
RR
Nebraska(5/20/2013)
RR
New Hampshire(7/15/2011)
RR
New Jersey(7/15/2011)
RR
New Mexico(7/15/2011)
RR
New York(7/15/2011)
RR
North Carolina(7/15/2011)
RR
Ohio(7/15/2011)
RR
Oklahoma(8/12/2011)
RR
Oregon(7/15/2011)
RR
Pennsylvania(7/15/2011)
RR
Rhode Island(7/15/2011)
RR
South Carolina(7/18/2011)
RR
South Dakota(4/9/2013)
RR
Texas(7/15/2011)
RR
Utah(7/15/2011)
RR
Virginia(7/15/2011)
RR
Washington(7/15/2011)
RR
West Virginia(2/9/2012)
RR
Wisconsin(7/15/2011)
RR
Wyoming(7/15/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
