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Colin Patrick Carter

Aegis Capital Corp.

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About Colin Patrick Carter

Colin Carter is a financial professional with over six years of experience in the industry. Colin currently works at Aegis Capital Corp., where they provide financial planning, portfolio management for individuals, and portfolio management for pooled investment vehicles. Colin has previously held positions at Morgan Stanley and Equitable Advisors, LLC. Colin is registered in New York and holds multiple securities licenses, including Series 7, Series 63, Series 66, Series 24 and SIE.

Firm Information

Colin Carter 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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Colin Carter’s Registration & Firm History

NY

04/01/2024 - Present

Aegis Capital Corp. (NEW YORK NY)

NY

04/25/2023 - 04/11/2024

MORGAN STANLEY (New York NY)

NY

12/14/2017 - 04/28/2023

EQUITABLE ADVISORS, LLC (WOODBURY NY)

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Licenses & Designations

BOTH

Issued 12/10/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/27/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/03/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2017

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 Patrick Carter.
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