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Investment Adviser Firm Summary

AEGIS CAPITAL CORP. (CRD# 15007 / SEC# 8-31616, 801-71386)
Alternate Names: AEGIS CAPITAL CORP. , GOTHAM EQUITIES , STERNAEGIS VENTURES

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/10/2010
California Terminated 05/26/2010
Connecticut Terminated 06/11/2010
District of Columbia Terminated 01/12/2011
Florida Terminated 06/11/2010
Georgia Terminated 06/11/2010
Kentucky Terminated 06/21/2011
Louisiana Terminated 11/05/2014
Massachusetts Terminated 10/28/2014
Minnesota Terminated 11/07/2014
Nevada Terminated 12/05/2014
New Jersey Terminated 06/01/2010
New York Terminated 06/11/2010
North Carolina Terminated 06/11/2010
Virginia Terminated 02/23/2011
Washington Terminated 09/15/2014
Wisconsin Terminated 09/13/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/01/2013
Alaska 04/01/2013
Arizona 06/17/2011
Arkansas 04/01/2013
California 06/18/2008
Colorado 04/01/2013
Connecticut 05/25/2010
Delaware 04/01/2013
District of Columbia 04/01/2013
Florida 05/26/2010
Georgia 05/25/2010
Hawaii 06/17/2011
Idaho 04/01/2013
Illinois 04/29/2013
Indiana 04/01/2013
Iowa 04/01/2013
Kansas 04/01/2013
Kentucky 06/17/2011
Louisiana 04/01/2013
Maine 04/01/2013
Maryland 04/01/2013
Massachusetts 04/01/2013
Michigan 09/08/2011
Minnesota 04/01/2013
Mississippi 04/01/2013
Missouri 04/01/2013
Montana 04/01/2013
Nebraska 04/01/2013
Nevada 04/01/2013
New Hampshire 04/01/2013
New Jersey 06/01/2010
New Mexico 04/01/2013
New York 05/25/2010
North Carolina 05/25/2010
North Dakota 04/01/2013
Ohio 05/02/2012
Oklahoma 04/01/2013
Oregon 04/01/2013
Pennsylvania 05/25/2010
Puerto Rico 04/01/2013
Rhode Island 04/01/2013
South Carolina 04/01/2013
South Dakota 04/01/2013
Tennessee 04/01/2013
Texas 06/17/2011
Utah 04/01/2013
Vermont 04/01/2013
Virgin Islands 04/01/2013
Virginia 04/01/2013
Washington 04/01/2013
West Virginia 04/01/2013
Wisconsin 04/01/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser