WN
William L. Notrica
AEGIS CAPITAL
LAGUNA NIGUEL, CA 92677
Some features on this profile are disabled
CRD#: 817537
WN
Professional summary
William Lee Notrica, who also goes by William L Notrica, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Laguna Niguel, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 9, Series 10, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William L Notrica
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.
1. NAME OF ENTITY: RE Pro Management. ADDRESS OF BUSINESS: 17000 Yukon Ave #A Torrance, CA 90504. BUSINESS DESCRIPTIONS: Apartments. BUSINESS IS/IS NOT INVESTMENT RELATED: Yes. PROJECTED START DATE: - 01/01/2014 PROJECTED END DATE: - No Anticipated End Date. CAPACITY: Owner - Passive. DUTIES PERFORMED: None (Owner). HOURS DEVOTED TO THIS OBA PER MONTH: 00. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 00.
CRS (Client Relationship Summary) - RIA
Click below to view William Lee Notrica's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Lee Notrica'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 24, 2022 - Present
AEGIS CAPITAL CORP.
Office #1: 30011 Ivy Glenn Dr Suite 205, Laguna Niguel, CA 92677RIA
BD
CRD#: 15007
LAGUNA NIGUEL, CA
Current
February 24, 2022 - Present
AEGIS CAPITAL CORP.
Office #1: 30011 Ivy Glenn Dr Suite 205, Laguna Niguel, CA 92677RIA
BD
CRD#: 15007
LAGUNA NIGUEL, CA
Past
February 25, 2004 - February 18, 2022
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
NEWPORT BEACH, CA
Past
February 24, 2004 - February 18, 2022
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEWPORT BEACH, CA
Past
May 3, 2002 - February 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEWPORT BEACH, CA
Past
September 4, 1990 - February 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 8, 1981 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
October 21, 1980 - June 17, 1981
JEFFERIES EXECUTION SERVICES, INC.
BD
CRD#: 867
Past
January 31, 1980 - October 4, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
January 27, 1976 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
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(5/5/2022)
RR
California(2/24/2022)
IAR
California(2/24/2022)
RR
Colorado(4/19/2022)
RR
Connecticut(3/3/2022)
RR
Florida(5/19/2022)
RR
Georgia(3/7/2024)
RR
Idaho(3/16/2022)
RR
Illinois(11/29/2022)
RR
Nevada(5/11/2022)
RR
New Jersey(3/30/2022)
RR
New York(2/24/2022)
RR
Ohio(2/24/2022)
RR
Oklahoma(3/14/2022)
RR
Oregon(4/27/2025)
RR
Pennsylvania(3/10/2022)
RR
Puerto Rico(9/18/2024)
IAR
Puerto Rico(9/18/2024)
RR
South Carolina(4/15/2025)
RR
Texas(4/14/2022)
RR
Utah(3/3/2022)
RR
Washington(3/17/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/29/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/31/1990
General Securities Sales Supervisor Examination (Options Module & General Module)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.
