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Anthony Polak

Aegis Capital CORP.
37 Years of Experience
Greenwich, CT
4 DisclosuresBroker
View SEC Summary
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Anthony Polak is a registered investment advisor at Aegis Capital CORP., based in Greenwich, CT, with 37 years of industry experience. Anthony 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

Greenwich, CT

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History

Regulatory History (4)
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.
Customer Dispute
February 2018
Closed-No Action
Customer Dispute
July 2014
Closed-No Action
Customer Dispute
April 2011
Denied
Employment Separation After Allegations
September 1991
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Aegis Capital CORP.
August 2026 - Present · 2 mos
Aegis Capital CORP.
October 2012 - Present · 14 yrs
Aegis Capital CORP.Broker
October 2012 - Present · 14 yrs
Previous Registrations
Aegis Capital CORP.
October 2012 - December 2016 · 4 yrs 2 mos
Maxim Financial Advisors LLC
April 2010 - November 2012 · 2 yrs 7 mos
Maxim Financial Advisors LLC
June 2006 - December 2006 · 6 mos
Maxim Group LLCBroker
October 2002 - November 2012 · 10 yrs 1 mo
Investec Ernst & CompanyBroker
April 2000 - October 2002 · 2 yrs 6 mos
Bluestone Capital Partners, L.P.Broker
February 1997 - April 2000 · 3 yrs 2 mos
Fahnestock & CO., INC.Broker
January 1995 - February 1997 · 2 yrs 1 mo
Reich & CO., INC.Broker
December 1992 - January 1995 · 2 yrs 1 mo
Reich & CO., INC.Broker
August 1991 - December 1992 · 1 yr 4 mos
Ladenburg, Thalmann & CO., INC.Broker
November 1988 - October 1991 · 2 yrs 11 mos
State Registrations21 states
AZCACOCTDCDEFLGAILMAMDMINHNJNMNVNYPARIVAVT
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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