MP
Michelle Perres
AEGIS CAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 4350152
MP
Professional summary
Michelle Perres, who also goes by Michelle Haffner, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Melville, New York.
Michelle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michelle has worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michelle Haffner
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) - RIA
Click below to view Michelle Perres's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michelle Perres'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
February 2, 2017 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Current
September 2, 2014 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Past
October 4, 2012 - September 2, 2014
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
MELVILLE, NY
Past
May 31, 2012 - October 8, 2012
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
MELVILLE, NY
Past
January 11, 2011 - May 31, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
BD
CRD#: 130390
MELVILLE, NY
Past
May 6, 2009 - January 12, 2011
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
NEW YORK, NY
Past
May 15, 2007 - June 1, 2009
CLARK DODGE & CO., INC.
RIA
CRD#: 23288
GARDEN CITY, NY
Past
May 15, 2007 - June 1, 2009
CLARK DODGE & CO., INC.
BD
CRD#: 23288
GARDEN CITY, NY
Past
January 12, 2006 - May 11, 2007
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
GARDEN CITY, NY
Past
December 16, 2004 - January 6, 2006
ANDREW GARRETT INC.
BD
CRD#: 29931
NEW YORK, NY
Past
June 4, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
BD
CRD#: 37920
BOCA RATON, FL
Past
February 13, 2004 - June 24, 2004
S.W. BACH & COMPANY
BD
CRD#: 43522
PORT WASHINGTON, NY
Past
February 4, 2004 - February 13, 2004
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
February 20, 2001 - January 30, 2004
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(9/2/2014)
RR
California(9/2/2014)
IAR
California(2/2/2017)
RR
Colorado(10/15/2014)
RR
Connecticut(9/4/2014)
RR
Florida(9/2/2014)
IAR
Florida(6/30/2021)
RR
Georgia(1/6/2023)
RR
Idaho(8/11/2025)
RR
Illinois(8/19/2016)
RR
Indiana(6/21/2019)
RR
Louisiana(9/2/2014)
IAR
Louisiana(11/17/2023)
RR
Massachusetts(6/18/2015)
RR
Minnesota(9/2/2014)
RR
Nevada(7/16/2021)
IAR
Nevada(3/22/2022)
RR
New Jersey(9/2/2014)
RR
New York(9/2/2014)
IAR
New York(3/21/2022)
RR
North Carolina(2/2/2023)
RR
North Dakota(9/2/2014)
RR
Ohio(9/2/2014)
IAR
Ohio(6/25/2021)
RR
Pennsylvania(9/2/2014)
RR
South Carolina(9/2/2014)
RR
Tennessee(1/5/2021)
RR
Texas(9/2/2014)
IAR
Texas(6/29/2021)
RR
Virginia(12/21/2022)
RR
Washington(1/9/2017)
RR
West Virginia(12/20/2022)
RR
Wisconsin(6/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
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.
