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Anthony Gerald Polak

Aegis Capital Corp.

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About Anthony Gerald Polak

Anthony Gerald Polak is a financial advisor who has been in the industry since 1988. Anthony is currently registered with Aegis Capital Corp. and has previously been employed by Maxim Group LLC, Investec Ernst & Company, Bluestone Capital Partners, L.P., Fahnestock & Co., Inc., and Ladenburg, Thalmann & Co., Inc. Anthony specializes in providing portfolio management for individuals, businesses, and pooled investment vehicles.

Firm Information

Anthony Polak 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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Anthony Polak’s Registration & Firm History

NY

10/19/2012 - Present

Aegis Capital Corp. (NEW YORK NY)

NY

10/23/2002 - 11/14/2012

MAXIM GROUP LLC (NEW YORK NY)

NY

04/18/2000 - 10/23/2002

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

02/18/1997 - 04/24/2000

BLUESTONE CAPITAL PARTNERS, L.P. (NEW YORK NY)

NY

01/01/1995 - 02/06/1997

FAHNESTOCK & CO., INC. (NEW YORK NY)

NA

12/01/1992 - 01/01/1995

REICH & CO., INC.

NA

08/30/1991 - 12/01/1992

REICH & CO., INC.

NY

11/23/1988 - 10/09/1991

LADENBURG, THALMANN & CO., INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/09/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/19/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 4 public disclosures for Anthony Gerald Polak. Review regulatory record here.
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