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Michael Sandberg

Aegis Capital CORP.
37 Years of Experience
Port St. Lucie, FL
12 DisclosuresBroker
View SEC Summary
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Michael Sandberg is a registered investment advisor at Aegis Capital CORP., based in Port St. Lucie, FL, with 37 years of industry experience. Michael 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

Port St. Lucie, FL

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History

Regulatory History (12)
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.
Employment Separation After Allegations
October 2024
Customer Dispute
December 2020
Settled
Customer Dispute
December 2009
Settled
Customer Dispute
September 2009
Settled
Customer Dispute
September 2009
Settled
Regulatory
October 2005
Final
Customer Dispute
January 2005
Denied
Customer Dispute
May 2003
Settled
Customer Dispute
November 2002
Pending
Customer Dispute
April 1996
Settled
Customer Dispute
December 1995
Settled
Customer Dispute
July 1995
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Aegis Capital CORP.
November 2024 - Present · 1 yr 11 mos
Aegis Capital CORP.Broker
November 2024 - Present · 1 yr 11 mos
Aegis Capital CORP.
November 2024 - Present · 1 yr 11 mos
Previous Registrations
Ameriprise Financial Services, LLCBroker
November 2019 - November 2024 · 5 yrs
Ameriprise Financial Services, LLC
November 2019 - November 2024 · 5 yrs
Oppenheimer & CO. INC.
April 2018 - December 2019 · 1 yr 8 mos
Oppenheimer & CO. INC.Broker
March 2014 - December 2019 · 5 yrs 9 mos
Newbridge Securities CorporationBroker
May 2005 - March 2014 · 8 yrs 10 mos
Wachovia Securities, LLC
July 2003 - May 2005 · 1 yr 10 mos
Wachovia Securities, LLCBroker
July 2003 - May 2005 · 1 yr 10 mos
Prudential Securities Incorporated
July 2000 - July 2003 · 3 yrs
Prudential Securities IncorporatedBroker
July 2000 - July 2003 · 3 yrs
Painewebber IncorporatedBroker
May 1994 - July 2000 · 6 yrs 2 mos
Smith Barney Shearson INC.Broker
February 1993 - May 1994 · 1 yr 3 mos
Oppenheimer & CO., INC.Broker
October 1990 - February 1993 · 2 yrs 4 mos
The G.M.S. Group, INC.Broker
July 1989 - November 1990 · 1 yr 4 mos
State Registrations13 states
CAFLGAIDILNCNJNVNYPASCTXVA
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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