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Daniel A Seto

Aegis Capital Corp.

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About Daniel A Seto

Daniel Seto is a financial professional with over 15 years of experience in the industry. Daniel has worked with Aegis Capital Corp. since September 2016. Daniel holds Series 7, Series 63, Series 79TO, and Series 87 licenses and has worked with a variety of firms throughout his career. Prior to joining Aegis Capital Corp., Daniel worked with Financial West Group, Ledgemont Securities LLC, and Banc of America Securities LLC. Daniel specializes in providing portfolio management services to individuals, businesses, and pooled investment vehicles.

Firm Information

Daniel Seto 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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Daniel Seto’s Registration & Firm History

NY

04/21/2021 - Present

Aegis Capital Corp. (NEW YORK NY)

NV

11/04/2014 - 09/16/2016

FINANCIAL WEST GROUP (RENO NV)

NY

11/05/2009 - 01/14/2013

LEDGEMONT SECURITIES LLC (NEW YORK NY)

NY

06/24/1999 - 03/03/2003

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/21/1999 - 07/08/1999

WARBURG DILLON READ LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/19/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/11/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/04/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Daniel A Seto.
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