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Gerald Seigel

Aegis Capital CORP.
56 Years of Experience
Sarasota, FL
3 DisclosuresBroker
View SEC Summary
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Gerald Seigel is a registered investment advisor at Aegis Capital CORP., based in Sarasota, FL, with 56 years of industry experience. Gerald 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

3220 S Tamiami Trail, Sarasota, FL, 34239

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History

Regulatory History (3)
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 2025
Settled
Customer Dispute
December 2007
Denied
Customer Dispute
November 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gerald's business activity involves American Legacy Wealth Management, where all securities are offered through Aegis Capital Corp.

Employment History
Current Registrations
Aegis Capital CORP.Broker
June 2015 - Present · 11 yrs 4 mos
Aegis Capital CORP.
June 2015 - Present · 11 yrs 4 mos
Previous Registrations
Jhs Capital Advisors, LLC
June 2010 - June 2015 · 5 yrs
Jhs Capital Advisors, LLCBroker
April 2010 - June 2015 · 5 yrs 2 mos
Vioni Capital Management, LLC
November 2009 - April 2010 · 5 mos
Ancora Securities, INC.Broker
September 2009 - April 2010 · 7 mos
Citigroup Global Markets INC.
July 1993 - March 2008 · 14 yrs 8 mos
Citigroup Global Markets INC.Broker
July 1993 - March 2008 · 14 yrs 8 mos
Lehman Brothers INC.Broker
July 1990 - July 1993 · 3 yrs
Painewebber IncorporatedBroker
November 1983 - July 1990 · 6 yrs 8 mos
E. F. Hutton & Company INCBroker
February 1977 - January 1984 · 6 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
September 1968 - March 1977 · 8 yrs 6 mos
State Registrations12 states
CACTFLINMAMENYOHPARITNWI
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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Gerald Seigel - Financial Advisor | TrueAdvisor