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AG
AG

Andrew Gergatsoulis

Aegis Capital CORP.
36 Years of Experience
Bordentown, NJ
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Andrew Gergatsoulis is a registered investment advisor at Aegis Capital CORP., based in Bordentown, NJ, with 36 years of industry experience. Andrew 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
99 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

Bordentown, NJ

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History

Regulatory History (2)
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
October 2022
Settled
Customer Dispute
June 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Andrew is the owner of AG Capital Holdings LLC, an investment-related LLC, since 2013. The investment account is currently inactive and requires minimal time.

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
Aegis Capital CORP.
December 2023 - December 2023 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2019 - December 2023 · 4 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2019 - December 2023 · 4 yrs 6 mos
Aegis Capital CORP.
November 2013 - May 2019 · 5 yrs 6 mos
Aegis Capital CORP.Broker
November 2013 - May 2019 · 5 yrs 6 mos
Prospera Financial Services, INC.
March 2008 - November 2013 · 5 yrs 8 mos
Prospera Financial Services, INC.Broker
February 2008 - November 2013 · 5 yrs 9 mos
Wachovia Securities Financial Network, LLC
June 2002 - March 2008 · 5 yrs 9 mos
Wachovia Securities Financial Network, LLCBroker
January 2001 - March 2008 · 7 yrs 2 mos
Jwgenesis Securities, INC.Broker
September 1999 - January 2001 · 1 yr 4 mos
Josephthal & CO., INC.Broker
January 1998 - August 1999 · 1 yr 7 mos
Hampshire Securities CorporationBroker
May 1997 - December 1997 · 7 mos
First Cambridge Securities CorporationBroker
February 1996 - May 1997 · 1 yr 3 mos
Prudential Securities IncorporatedBroker
February 1995 - February 1996 · 1 yr
Gruntal & CO. IncorporatedBroker
July 1993 - February 1995 · 1 yr 7 mos
Bishop, Rosen & CO., INC.Broker
March 1991 - July 1993 · 2 yrs 4 mos
Prudential-Bache Securities INC.Broker
December 1990 - February 1991 · 2 mos
First Investors CorporationBroker
August 1989 - November 1990 · 1 yr 3 mos
Oppenheimer & CO., INC.Broker
July 1989 - August 1989 · 1 mo
State Registrations5 states
CAFLNJNYPA
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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