PQ
Phyllis L. Quirk
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CRD#: 811259
PQ
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phyllis Lyn Quirk, who also goes by Phyllis Lyn Kanastab, Phyllis Kanastab, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1975. Phyllis had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and PC exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Phyllis Lyn Kanastab | Phyllis Kanastab
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 9, 2016 - September 23, 2025
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
MONTCLAIR, NJ
Past
August 9, 2016 - September 23, 2025
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
August 2, 2016 - August 8, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
NEW YORK, NY
Past
July 22, 2011 - July 13, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEW YORK, NY
Past
July 22, 2011 - July 13, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
June 1, 2009 - August 4, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SHORT HILLS, NJ
Past
June 1, 2009 - August 4, 2011
MORGAN STANLEY
BD
CRD#: 149777
SHORT HILLS, NJ
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SHORT HILLS, NJ
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SHORT HILLS, NJ
Past
July 15, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
FAIRFIELD, NJ
Past
December 17, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
FAIRFIELD, NJ
Past
December 20, 1995 - September 11, 1998
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
February 8, 1995 - December 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 1, 1988 - March 12, 1990
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
March 2, 1987 - August 1, 1988
STERLING & YORKE SECURITIES CORP.
BD
CRD#: 15488
Past
December 20, 1983 - March 30, 1987
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
September 26, 1978 - December 22, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
August 21, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 12/15/1988
AMEX Put and Call ExamCurrent 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.
