Individual Firm
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SCOTT WAYNE POWELL
CRD#: 2764902
IA
B
AEGIS CAPITAL CORP.CRD#: 15007 701 N Westshore Blvd
Suite 205
TAMPA, FL 33629
Suite 205
TAMPA, FL 33629
View By:
2/14/2018
Customer Dispute
Settled
State Registrations
B
Alabama 1/5/2022
IA
Massachusetts 7/18/2023
IA
Alabama 1/10/2022
B
Nevada 1/19/2022
B
Arizona 12/20/2018
B
New Hampshire 2/3/2025
B
Delaware 5/6/2010
IA
New Hampshire 2/3/2025
IA
Delaware 3/21/2017
B
North Carolina 11/6/2023
B
Florida 4/14/2010
IA
North Carolina 11/7/2023
IA
Florida 4/26/2010
B
Ohio 3/16/2022
B
Georgia 11/18/2024
IA
Ohio 3/16/2022
IA
Georgia 11/18/2024
B
Texas 6/3/2019
B
Illinois 7/25/2011
IA
Texas 4/29/2021
B
Kentucky 1/4/2022
B
Virginia 3/24/2025
IA
Kentucky 1/10/2022
IA
Virginia 3/24/2025
B
Massachusetts 12/22/2015
SRO Registrations
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/26/2010
B
Registered with this firm since 4/14/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/19/2010 - 04/23/2010 | TAMPA, FL | |
B | 02/26/2010 - 04/23/2010 | TAMPA, FL | |
IA | 08/14/2000 - 11/12/2009 | TAMPA, FL | |
B | 08/14/2000 - 11/12/2009 | TAMPA, FL | |
B | 11/21/1997 - 08/17/2000 | ST. PETERSBURG, FL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.