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Joseph Yi

Aegis Capital CORP.
16 Years of Experience
Alpharetta, GA
1 DisclosureSells Insurance
View SEC Summary
View SEC Summary

Joseph Yi is a registered investment advisor at Aegis Capital CORP., based in Alpharetta, GA, with 16 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. 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

Alpharetta, GA

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History

Regulatory History (1)
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Employment Separation After Allegations
March 2024
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joseph works as a financial advisor for Lincoln Term Life Insurance, dedicating a few hours per week to this role. This activity is investment-related and involves insurance products.

Employment History
Current Registrations
Aegis Capital CORP.
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Esi Financial Advisors
May 2020 - March 2024 · 3 yrs 10 mos
Equity Services, INC.Broker
May 2020 - March 2024 · 3 yrs 10 mos
MML Investors Services, LLC
April 2016 - April 2020 · 4 yrs
MML Investors Services, LLCBroker
March 2016 - April 2020 · 4 yrs 1 mo
Investment Professionals, INC.
July 2015 - March 2016 · 8 mos
Investment Professionals, INC.Broker
June 2015 - March 2016 · 9 mos
Raymond James & Associates, INC.Broker
February 2013 - July 2015 · 2 yrs 5 mos
Raymond James & Associates, INC.
February 2013 - July 2015 · 2 yrs 5 mos
Morgan Keegan & Company, INC.
July 2012 - February 2013 · 7 mos
Morgan Keegan & Company, INC.Broker
July 2012 - February 2013 · 7 mos
Morgan Stanley Smith Barney LLC
January 2010 - July 2012 · 2 yrs 6 mos
Morgan Stanley Smith BarneyBroker
December 2009 - July 2012 · 2 yrs 7 mos
State Registrations1 state
GA
Advisor

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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