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Guy Clemente

Aegis Capital CORP.
42 Years of Experience
Whitestone, NY
15 DisclosuresBroker
View SEC Summary
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Guy Clemente is a registered investment advisor at Aegis Capital CORP., based in Whitestone, NY, with 42 years of industry experience. Guy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 3,083 clients with $1.8B in assets under management.

Aegis Capital CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
101 advisors
Number of Clients
3,083 clients
Average Client Portfolio
$577K average
Assets Under Management
$1.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.50%
$250K - $1.0M2.25%
$1M+2.00%

Rates shown are the maximums when most transaction costs are charged to the client. If transaction costs are charged to Aegis Capital Corp., the maximum rates are 3.00% on the first $250k, 2.75% on the next $750k, and 2.50% over $1M. Fees may be negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Whitestone, NY

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History

Regulatory History (15)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
March 2025
Final
Customer Dispute
June 2024
Settled
Employment Separation After Allegations
December 2023
Criminal
October 2021
Final Disposition
Regulatory
July 2002
Final
Customer Dispute
May 2000
Award / Judgment
Customer Dispute
May 1998
Denied
Customer Dispute
December 1997
Closed-No Action
Regulatory
April 1997
Final
Customer Dispute
December 1996
Award / Judgment
Customer Dispute
January 1996
Award / Judgment
Customer Dispute
December 1995
Award / Judgment
Customer Dispute
November 1995
Award / Judgment
Customer Dispute
October 1995
Settled
Employment Separation After Allegations
May 1995
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Guy is a managing member of Clemente Capital Management LLC, an entity established for tax and investment purposes. He dedicates minimal time to this business.

Employment History
Current Registrations
Aegis Capital CORP.
December 2023 - Present · 2 yrs 10 mos
Aegis Capital CORP.
December 2023 - Present · 2 yrs 10 mos
Aegis Capital CORP.Broker
December 2023 - Present · 2 yrs 10 mos
Previous Registrations
Andrew Garrett, INC.
January 2013 - January 2024 · 11 yrs
Andrew Garrett INC.Broker
February 2007 - January 2024 · 16 yrs 11 mos
S.W. Bach & CompanyBroker
February 2003 - February 2007 · 4 yrs
The Thornwater Company, L.P.Broker
May 1999 - February 2003 · 3 yrs 9 mos
M.S. Farrell & Company, INC.Broker
July 1997 - May 1999 · 1 yr 10 mos
Sands Brothers & CO., LTD.Broker
December 1996 - June 1997 · 6 mos
The J.B. Sutton Group, INC.Broker
January 1996 - January 1997 · 1 yr
Commonwealth AssociatesBroker
June 1995 - January 1996 · 7 mos
Smith Barney INC.Broker
July 1993 - June 1995 · 1 yr 11 mos
Lehman Brothers INC.Broker
July 1984 - July 1993 · 9 yrs
Rauscher Pierce Refsnes, INC.Broker
January 1984 - June 1984 · 5 mos
State Registrations32 states
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AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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