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William Notrica

Aegis Capital CORP.
50 Years of Experience
Laguna Niguel, CA
10 DisclosuresBroker
View SEC Summary
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William Notrica is a registered investment advisor at Aegis Capital CORP., based in Laguna Niguel, CA, with 50 years of industry experience. William 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

30011 Ivy Glenn Dr, Suite 205, Laguna Niguel, CA, 92677

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History

Regulatory History (10)
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
April 2023
Settled
Employment Separation After Allegations
January 2022
Customer Dispute
July 2007
Denied
Customer Dispute
November 2002
Settled
Customer Dispute
September 2001
Denied
Customer Dispute
August 2001
Denied
Customer Dispute
March 2001
Settled
Customer Dispute
December 2000
Settled
Customer Dispute
January 2000
Denied
Customer Dispute
November 1993
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is a passive owner of RE Pro Management, an apartment business, since 2014. He dedicates minimal time to this investment-related activity.

Employment History
Current Registrations
Aegis Capital CORP.Broker
February 2022 - Present · 4 yrs 8 mos
Aegis Capital CORP.
February 2022 - Present · 4 yrs 8 mos
Previous Registrations
RBC Capital Markets, LLC
February 2004 - February 2022 · 18 yrs
RBC Capital Markets, LLCBroker
February 2004 - February 2022 · 18 yrs
Wachovia Securities, LLC
May 2002 - February 2004 · 1 yr 9 mos
Wachovia Securities, LLCBroker
September 1990 - February 2004 · 13 yrs 5 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
June 1981 - September 1990 · 9 yrs 3 mos
Wagenseller & Durst, INC.Broker
October 1980 - June 1981 · 8 mos
Paine, Webber, Jackson & Curtis INC.Broker
January 1980 - October 1980 · 9 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
January 1976 - January 1980 · 4 yrs
State Registrations20 states
AZCACOCTFLGAIDILNJNVNYOHOKORPAPRSCTXUTWA
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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