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Andrew Stephen Mogol

Aegis Capital Corp.

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About Andrew Stephen Mogol

Andrew Mogol is an investment advisor representative with Aegis Capital Corp.. Andrew has been in the industry since July 2011 and has a Series 7, Series 31, and SIE. Andrew is registered in 17 states and has passed the Uniform Combined State Law Examination (Series 66). Andrew specializes in providing investment advice to individuals, corporations and pooled investment vehicles. Prior to joining Aegis Capital Corp., Andrew was employed by MORGAN STANLEY. Andrew is also a board member of Maryland Votes for Animals, Inc and the owner of Royal Vagabond Partners, LLC.

Firm Information

Andrew Mogol is currently registered with Aegis Capital Corp.. Aegis Capital Corp. is a corporation formed in 1984 and headquartered in New York, NY. The firm provides financial planning, portfolio management for individuals, businesses, and pooled investment vehicles. Aegis Capital Corp. is registered with the SEC and in 53 states. The firm has over 257 registered representatives and manages approximately $1.28 billion in assets.
Aegis Capital Corp.

1345 AVENUE OF THE AMERICAS

NEW YORK, NY 10105

$1.28B

Assets Under Management

Not reported

Total Clients

156

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Andrew Mogol’s Registration & Firm History

MD

07/18/2024 - Present

Aegis Capital Corp. (TIMONIUM MD)

MD

07/04/2011 - 06/28/2024

MORGAN STANLEY (Lutherville MD)

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Licenses & Designations

BOTH

Issued 08/02/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/2011

Series 31 - Futures Managed Funds Examination

BC

Issued 07/02/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Andrew Stephen Mogol. Review regulatory record here.
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