Malcolm Wain

AEGIS WEALTH MANAGEMENT

Ironton, OH

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CRD#: 2692690

Professional summary

Malcolm Wain is a registered financial advisor currently at AEGIS WEALTH MANAGEMENT, INC. located in Ironton, Ohio.

Malcolm is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Malcolm has worked at 10 firms and has passed the Series 63 and Series 6 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.

Wain Financial Group 1621 S. 3rd Street Ironton OH 45638 President Since 06/2000 Not Investment Related LIFE, HEALTH AND FIXED ANNUITY INSURANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Wain's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 7, 2024 - Present

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Ironton, OH

Past

January 17, 2020 - September 26, 2022

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Ironton, OH

Past

May 25, 2016 - January 20, 2020

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

Ironton, OH

Past

January 26, 2015 - May 26, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

IRONTON, OH

Past

January 20, 2011 - December 31, 2013

FA ADVISOR NETWORK, LLC.

RIA

CRD#: 154304

DALLAS, TX

Past

August 1, 2008 - January 30, 2009

HOLLAND ADVISORY SERVICES, INC.

RIA

CRD#: 136302

IRONTON, OH

Past

February 10, 2006 - July 10, 2006

KALOS CAPITAL, INC.

CRD#: 44337

IRONTON, OH

Past

June 7, 2002 - March 7, 2006

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

September 28, 2000 - April 12, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

February 16, 1996 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

February 16, 1996 - September 21, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(10/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/15/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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Contact information

Main Address

317 State Street, Guthrie Center, IA 50115

Mailing Address

Phone number

(833) 483-8383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AEGIS WEALTH MANAGEMENT INC. FORM ADV PART 2A BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,538
AUM (Assets Under Management)	$ 175,971,164

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.

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Advisor Monitoring

Firm Stability Insights

Malcolm Wain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Wain's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS WEALTH MANAGEMENT, INC.

VIRTUE CAPITAL MANAGEMENT, LLC

HORTER INVESTMENT MANAGEMENT, LLC

FA ADVISOR NETWORK, LLC.

HOLLAND ADVISORY SERVICES, INC.

KALOS CAPITAL, INC.

PARK AVENUE SECURITIES LLC

NYLIFE SECURITIES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

AEGIS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/15/1996

Series 6

Date: 2/15/1996

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AEGIS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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