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David Gershoni

Aegis Capital CORP.
35 Years of Experience
Westport, CT
5 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

David Gershoni is a registered investment advisor at Aegis Capital CORP., based in Westport, CT, with 35 years of industry experience. David 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

156 Kings Highway North, 1st Floor, Westport, CT, 06880

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History

Regulatory History (5)
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
March 2022
Customer Dispute
November 2003
Denied
Customer Dispute
June 2002
Settled
Customer Dispute
March 2002
Settled
Customer Dispute
January 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David works as an agent/producer for ACC Agency, Inc., a general insurance agency. He dedicates a few hours per week to this investment-related activity.

Employment History
Current Registrations
Aegis Capital CORP.
April 2022 - Present · 4 yrs 6 mos
Aegis Capital CORP.
April 2022 - Present · 4 yrs 6 mos
Aegis Capital CORP.Broker
April 2022 - Present · 4 yrs 6 mos
Previous Registrations
Ameriprise Financial Services, LLC
August 1991 - May 2022 · 30 yrs 9 mos
Ameriprise Financial Services, LLCBroker
July 1991 - March 2022 · 30 yrs 8 mos
Ids Life Insurance CompanyBroker
July 1991 - July 2006 · 15 yrs
State Registrations6 states
CACTFLNYPATX
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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