Sergio M. Rovner

AEGIS CAPITAL

New York, NY 10105

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CRD#: 2884441

Professional summary

Sergio M Rovner, who also goes by Sergey Rovner, Sergio Rovner, is a registered financial professional currently at AEGIS CAPITAL CORP. located in New York, New York.

Sergio is registered as a RR (Registered Representative) and started their career in finance in 1997. Sergio has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sergey Rovner | Sergio Rovner

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sergio M Rovner'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

July 2, 2014 - Present

AEGIS CAPITAL CORP.

Office #1: 1345 Avenue Of The Americas 27th Floor, New York, NY 10105

RIA

CRD#: 15007

New York, NY

Past

April 24, 2007 - August 6, 2014

ROCKWELL SECURITIES LLC

CRD#: 142483

NEW YORK, NY

Past

February 27, 2007 - April 30, 2007

ANDREW GARRETT INC.

CRD#: 29931

UNIONDALE, NY

Past

June 16, 2000 - March 1, 2007

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

Past

September 10, 1999 - October 20, 1999

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

MINEOLA, NY

Past

April 30, 1998 - August 25, 1999

CAPITAL INTERNATIONAL SECURITIES GROUP, INC.

CRD#: 29771

MIAMI, FL

Past

February 4, 1998 - May 16, 1998

WOLFF INVESTMENT GROUP INCORPORATED

CRD#: 21930

NEW YORK, NY

Past

October 17, 1997 - December 16, 1997

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

NEW YORK, NY

Past

August 27, 1997 - October 23, 1997

FIRST UNITED EQUITIES CORPORATION

CRD#: 36398

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 CAPITAL CORP.

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(3/2/2015)

Arizona
(2/25/2015)

Arkansas
(8/8/2014)

California
(8/7/2014)

Connecticut
(8/11/2014)

Florida
(8/8/2014)

Georgia
(7/1/2015)

Illinois
(1/8/2015)

Indiana
(8/19/2014)

Iowa
(6/19/2015)

Kentucky
(4/5/2016)

Louisiana
(8/22/2014)

Maryland
(8/11/2014)

Michigan
(5/5/2016)

Minnesota
(3/5/2015)

New Hampshire
(12/17/2024)

New Jersey
(5/6/2015)

New York
(8/7/2014)

North Carolina
(8/7/2014)

Ohio
(12/15/2014)

Oklahoma
(8/11/2014)

Pennsylvania
(5/5/2016)

Rhode Island
(8/12/2014)

South Carolina
(1/15/2015)

Texas
(8/29/2014)

Utah
(11/29/2016)

Virginia
(5/9/2016)

Washington
(8/8/2014)

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: 9/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

AEGIS CAPITAL CORP.

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2-3-2025 (2/27/2025)

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.

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Firm Stability Insights

Sergio M. Rovner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sergio M Rovner's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKWELL SECURITIES LLC

ANDREW GARRETT INC.

S.W. BACH & COMPANY

MORGAN, TAYLOR & ASSOCIATES, INC.

CAPITAL INTERNATIONAL SECURITIES GROUP, INC.

WOLFF INVESTMENT GROUP INCORPORATED

W.J. NOLAN & COMPANY, INC.

FIRST UNITED EQUITIES CORPORATION

Primary Firm SEC Registration

AEGIS CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/3/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/26/1997

Series 24

Date: 1/19/1999

FINRA

Nasdaq Stock Market

Current Firm

AEGIS CAPITAL CORP.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AEGIS CAPITAL CORP.

TRUST BUT VERIFY

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