BR
BR

Brian Rohm

8 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
94 advisors
Number of Clients
1,733 clients
Average Client Portfolio
$826K average
Assets Under Management
$1.4B

Fee Structure

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Location

1345 Avenue of the Americas, 27th Floor, New York, NY, 10105

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Aegis Capital CORP.
May 2024 - Present · 1 yr 9 mos
Aegis Capital CORP.Broker
May 2024 - Present · 1 yr 9 mos
Previous Registrations
Guggenheim Investor Services, LLCBroker
January 2024 - March 2024 · 2 mos
Morgan Stanley
December 2022 - October 2023 · 10 mos
Morgan StanleyBroker
December 2022 - October 2023 · 10 mos
Neuberger Berman Bd LLCBroker
February 2022 - December 2022 · 10 mos
Neuberger Berman Bd LLC
February 2022 - December 2022 · 10 mos
Cnr Securities, LLCBroker
June 2021 - January 2022 · 7 mos
City National Rochdale
June 2021 - January 2022 · 7 mos
A.G.P / Alliance Global Partners
July 2019 - July 2021 · 2 yrs
A.G.P. / Alliance Global PartnersBroker
February 2019 - July 2021 · 2 yrs 5 mos
LPL Financial Corporation
January 2008 - June 2009 · 1 yr 5 mos
LPL Financial CorporationBroker
October 2007 - June 2009 · 1 yr 8 mos
State Registrations1 state
NY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Brian Rohm - Financial Advisor | TrueAdvisor