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JOSHUA LAWRENCE FELDMAN
JOSHUA L FELDMAN
CRD#: 4409229
IA
Investment Adviser
B
Broker
AEGIS CAPITAL CORP.CRD#: 15007 156 KINGS HIGHWAY NORTH, 1ST FLOOR
WESTPORT, CT 06880
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BGUNNALLEN FINANCIAL, INC (CRD# 17609)2002 - 2006 (3 years)BINVESTEC ERNST & COMPANY (CRD# 266)2001 - 2002 (1 year)
Disclosure(s)
View By:
2/3/2017
Customer Dispute
Settled
4/5/2016
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/18/2014

B
New Hampshire 3/26/2024

IA
California 7/5/2022

B
New Jersey 12/2/2011

B
Colorado 7/20/2023

IA
New Jersey 12/2/2011

B
Connecticut 12/2/2011

B
New York 12/1/2011

IA
Connecticut 12/2/2011

IA
New York 5/7/2021

B
Florida 12/2/2011

B
North Carolina 6/28/2017

IA
Florida 12/13/2011

B
Pennsylvania 8/24/2021

B
Illinois 9/17/2024

B
Texas 4/8/2015

B
Iowa 10/20/2023

IA
Texas 8/5/2022

B
Maine 3/25/2024

B
Utah 10/27/2023

B
Massachusetts 12/2/2011

B
Virginia 1/5/2022

IA
Massachusetts 12/9/2021

B
Washington 3/25/2024

SRO Registrations

B
FINRA

B
NYSE Arca, Inc.

B
Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AEGIS CAPITAL CORP. (CRD#:15007)
156 KINGS HIGHWAY NORTH, 1ST FLOOR, WESTPORT, CT 06880
Registered with this firm since 12/2/2011

B
AEGIS CAPITAL CORP. (CRD#:15007)
156 KINGS HIGHWAY NORTH, 1ST FLOOR, WESTPORT, CT 06880
Registered with this firm since 12/1/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/20/2009 - 12/16/2011 FMSI ADVISERS (CRD#:21786) SYOSSET, NY
B
01/20/2009 - 12/16/2011 FIRST MIDWEST SECURITIES, INC. (CRD#:21786) SYOSSET, NY
IA
12/21/2006 - 12/22/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WHITE PLAINS, NY
B
07/19/2006 - 12/22/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WHITE PLAINS, NY
B
08/26/2002 - 06/23/2006 GUNNALLEN FINANCIAL, INC (CRD#:17609) MAMARONECK, NY
B
08/22/2001 - 09/12/2002 INVESTEC ERNST & COMPANY (CRD#:266) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.