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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Rohm is a financial advisor with Aegis Capital Corp. Brian has over 16 years of experience in the financial services industry. Brian has worked at several other firms, including Morgan Stanley, Neuberger Berman BD LLC, CNR Securities, LLC, A.G.P. / Alliance Global Partners, and LPL Financial Corporation. Brian is registered with FINRA and holds Series 7, 24, 52TO, 53, 57TO, and 66 licenses. Brian is also a registered investment advisor. Brian has worked with a wide range of clients, including high-net-worth individuals, corporations, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
NY
05/14/2024 - Present
Aegis Capital Corp. (NEW YORK NY)
NY
01/04/2024 - 03/05/2024
GUGGENHEIM INVESTOR SERVICES, LLC (NEW YORK NY)
NY
12/20/2022 - 10/16/2023
MORGAN STANLEY (New York NY)
NY
02/01/2022 - 12/08/2022
NEUBERGER BERMAN BD LLC (NEW YORK NY)
NY
06/30/2021 - 01/27/2022
CNR SECURITIES, LLC (NEW YORK NY)
CA
02/12/2019 - 07/08/2021
A.G.P. / ALLIANCE GLOBAL PARTNERS (NEWPORT BEACH CA)
CA
10/08/2007 - 06/25/2009
LPL FINANCIAL CORPORATION (ORANGE CA)
BOTH
Issued 05/20/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/2024
Series 14 - Compliance Officer Examination
BC
Issued 08/10/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/08/2020
Series 4 - Registered Options Principal Examination
BC
Issued 02/24/2020
Series 24 - General Securities Principal Examination
BC
Issued 05/21/2022
Series 52TO - Municipal Securities Representative Examination
BC
Issued 09/16/2019
Series 57TO - Securities Trader Exam
BC
Issued 01/22/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/22/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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