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JL

Joseph B. Lascala

AEGIS CAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 3070261
JL

Professional summary

Joseph Brian Lascala JR, who also goes by Joe Lascala Jr, is a registered financial professional currently at AEGIS CAPITAL CORP. located in Melville, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Lascala Jr

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 Joseph Brian Lascala JR'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

February 29, 2012 - Present

AEGIS CAPITAL CORP.

Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747
RIA
BD
CRD#: 15007
Melville, NY
Past

January 14, 2014 - April 8, 2022

AEGIS CAPITAL CORP.

RIA
CRD#: 15007
HAUPPAUGE, NY
Past

January 4, 2010 - February 29, 2012

PAULSON INVESTMENT COMPANY LLC

RIA
CRD#: 5670
HAUPPAUGE, NY
Past

January 4, 2010 - February 29, 2012

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
HAUPPAUGE, NY
Past

May 5, 2006 - January 13, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
HAUPPAUGE, NY
Past

July 2, 2002 - January 13, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
HAUPPAUGE, NY
Past

October 29, 1999 - July 29, 2002

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

June 29, 1998 - October 29, 1999

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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
(11/21/2014)
RR
Colorado
(6/23/2016)
RR
Connecticut
(4/12/2012)
RR
District of Columbia
(2/29/2012)
RR
Florida
(3/19/2012)
RR
Georgia
(6/1/2012)
RR
Louisiana
(6/17/2013)
RR
Maine
(8/20/2012)
RR
Minnesota
(1/30/2013)
RR
New Jersey
(4/20/2012)
RR
New York
(2/29/2012)
RR
North Carolina
(3/10/2017)
RR
Pennsylvania
(10/7/2021)
RR
Puerto Rico
(9/20/2012)
RR
South Carolina
(10/9/2016)
RR
Virginia
(2/2/2018)
RR
West Virginia
(6/15/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/7/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/2/2002
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
AEGIS CAPITAL HOLDING CORP.HOLDING COMPANY
EIDE, ROBERT JAYCEO, SECRETARY, CLO, DIRECTOR1015261
FEINMAN, ROBERT STEVENCHIEF COMPLIANCE OFFICER205708
KOTT, GEORGE GREGORYCHIEF OPERATING OFFICER2876578
MCKENNA, FRANCIS JMUNICIPAL PRINCIPAL4825383
MILLER, JOHN STEVENSONCO-FINOP2139980
POSS, THOMAS CHAMPNEYCHIEF FINANCIAL OFFICER, CO-FINOP2547521

Regulatory assets under management

Total Number of Accounts2,760
AUM (Assets Under Management)$ 1,430,612,106

Disclosures

Regulatory Event41
Arbitration1

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.

Company Information

AEGIS CAPITAL CORP.

CRD#: 15007Melville, NY 11747

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