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Andrew Brookman

Aegis Capital CORP.
26 Years of Experience
Greenwich, CT
4 DisclosuresBroker
View SEC Summary
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Andrew Brookman is a registered investment advisor at Aegis Capital CORP., based in Greenwich, CT, with 26 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

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
June 2023
Settled
Customer Dispute
January 2023
Withdrawn
Customer Dispute
March 2022
Settled
Customer Dispute
December 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Andrew is doing business as Alpha Strategic Advisors, offering securities through Aegis Capital Corp, dedicating full-time hours to this. He also owns JAKAMB LLC, an entity established for tax purposes, dedicating minimal time to it.

Employment History
Current Registrations
Aegis Capital CORP.
March 2022 - Present · 4 yrs 7 mos
Aegis Capital CORP.
March 2022 - Present · 4 yrs 7 mos
Aegis Capital CORP.Broker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
LPL Financial LLC
June 2021 - April 2022 · 10 mos
LPL Financial LLCBroker
May 2019 - April 2022 · 2 yrs 11 mos
Oppenheimer & CO. INC.Broker
May 2013 - May 2019 · 6 yrs
Brill Securities, INC.Broker
January 2004 - May 2013 · 9 yrs 4 mos
The Jeffrey Matthews Financial Group, L.L.C.Broker
April 2003 - December 2003 · 8 mos
Momentum Securities, L.L.C.Broker
April 2002 - September 2002 · 5 mos
Embarcadero Securities, LLCBroker
June 2001 - March 2002 · 9 mos
Abn Amro Securities LLCBroker
July 1999 - June 2001 · 1 yr 11 mos
State Registrations3 states
CACTTX
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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