Jimmy Fish

AEGIS WEALTH MANAGEMENT

Hermosa Beach, CA

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CRD#: 6374704

Professional summary

Jimmy Fish, who also goes by Jim Fish, is a registered financial advisor currently at AEGIS WEALTH MANAGEMENT, INC. located in Hermosa Beach, California.

Jimmy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jimmy has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Fish

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.

[Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 415 Herondo St., Hermosa Beach CA 90254; Commissions; 10 hours per month, 10 during securities trading hours; independent contractor; insurance related]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy Fish'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

June 7, 2021 - Present

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Hermosa Beach, CA

Past

June 15, 2020 - June 14, 2021

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

GLENDALE, CA

Past

April 28, 2020 - June 14, 2021

NYLIFE SECURITIES LLC

CRD#: 5167

GLENDALE, CA

Past

January 16, 2020 - April 18, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

EL SEGUNDO, CA

Past

January 15, 2020 - April 18, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

EL SEGUNDO, CA

Past

January 9, 2019 - January 14, 2020

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

Hermosa Beach, CA

Past

September 18, 2017 - September 20, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

POMONA, CA

Past

September 18, 2017 - September 20, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

POMONA, CA

Past

August 24, 2015 - September 13, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ALTA LOMA, CA

Past

August 24, 2015 - September 13, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ALTA LOMA, CA

Past

January 2, 2015 - August 13, 2015

EDWARD JONES

RIA

CRD#: 250

CHINO, CA

Past

September 23, 2014 - August 13, 2015

EDWARD JONES

CRD#: 250

CHINO, CA

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

California
(6/7/2021)

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

IAR

Series 66

Date: 10/17/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/2014

General Securities 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

Jimmy Fish

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy Fish's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PEAK AMERICAN INVESTMENT ADVISORS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

AEGIS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2014

SIE

Date: 9/20/2018

Series 7

Date: 9/23/2014

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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