linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Colin Guy McCarthy

Aegis Capital Corp.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Colin? Claim Your Profile

About Colin Guy McCarthy

Colin Guy McCarthy is a financial professional with over 20 years of experience in the industry. Colin is currently registered with Aegis Capital Corp. and is licensed to provide investment advice in a variety of areas. Colin has held prior positions with a number of other firms, including Spencer Trask Ventures, Inc., Maxim Group LLC, and Oppenheimer & Co. Inc. Colin offers a variety of services, including financial planning, portfolio management for individuals and businesses, and portfolio management for pooled investment vehicles.

Firm Information

Colin McCarthy 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.

check

financial planning services

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

check

portfolio management for businesses

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

check

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.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Colin McCarthy’s Registration & Firm History

NY

07/07/2014 - Present

Aegis Capital Corp. (NEW YORK NY)

NY

07/29/2013 - 07/09/2014

SPENCER TRASK VENTURES, INC. (NEW YORK NY)

NY

08/08/2011 - 11/27/2012

MAXIM GROUP LLC (NEW YORK NY)

NY

05/18/2009 - 08/09/2011

HFP CAPITAL MARKETS LLC (NEW YORK NY)

NY

04/23/2007 - 05/14/2009

MCGINN, SMITH & CO., INC. (NEW YORK NY)

NY

10/20/2006 - 02/20/2007

CITIGROUP GLOBAL MARKETS INC. (REGO PARK NY)

IL

02/07/2005 - 03/15/2006

CHICAGO INVESTMENT GROUP, LLC (CHICAGO IL)

NY

01/02/2002 - 02/18/2005

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

09/10/2001 - 01/02/2002

PRIME CHARTER LTD. (NEW YORK NY)

Not sure if Colin Guy McCarthy is right for you?

Licenses & Designations

BC

Issued 09/21/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Colin Guy McCarthy.
Not sure if Colin Guy McCarthy is right for you?