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Aret Gugin

Aegis Capital Corp.

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About Aret Gugin

Aret Gugin is a financial professional with over 25 years of experience in the industry. Aret is currently registered with Aegis Capital Corp. and has been with the firm since August 2014. Previously, Aret has also been registered with Global Arena Capital Corp, Prestige Financial Center, Inc., and S.W. Bach & Company. Aret holds Series 7, Series 63, and SIE licenses. Aret is licensed to provide investment advice in 36 states.

Firm Information

Aret Gugin 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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Aret Gugin’s Registration & Firm History

NY

08/27/2014 - Present

Aegis Capital Corp. (MELVILLE NY)

NY

11/03/2010 - 09/03/2014

GLOBAL ARENA CAPITAL CORP (MELVILLE NY)

NY

11/24/2006 - 11/02/2010

PRESTIGE FINANCIAL CENTER, INC. (MELVILLE NY)

NY

01/21/2004 - 12/01/2006

S.W. BACH & COMPANY (PORT WASHINGTON NY)

NY

06/10/1996 - 01/29/2004

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

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Licenses & Designations

BC

Issued 06/18/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/08/1996

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 Aret Gugin. Review regulatory record here.
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