George Gregory Kott
Professional Summary
George Gregory Kott, who also goes by George Kott, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in New York, New York. George is registered as a RR (Registered Representative) and started their career in finance in 1997. George has worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
George Kott
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Years of Experience
29 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Current Firm
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | 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
Contact Information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105Phone Number
(212) 813-1010Established
New York since 01/15/1984Firm Type
CorporationFiscal Year End
NovemberFirm Size
Medium# of Employees
260SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
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
4,218AUM (Assets Under Management)
$1,777,602,590Disclosures
Regulatory Event
44Arbitration
1Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Primary Firm SEC Registration
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | 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
State Registrations and Notice Filings
(8/10/2009)
(6/26/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view George Gregory Kott's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
