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Frank Alexander Ballinger

Aegis Capital Corp.

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About Frank Alexander Ballinger

Frank Alexander Ballinger is a financial advisor with over 40 years of experience in the industry. Frank is currently registered with Aegis Capital Corp. and has a strong track record of helping clients achieve their financial goals. Frank has held previous positions with Capitol Securities Management, Inc., Smith Barney Inc., Lehman Brothers Inc., Paine Webber Incorporated, and Butcher & Singer Inc. Frank specializes in providing financial planning, portfolio management for individuals, businesses, and pooled investment vehicles.

Firm Information

Frank Ballinger 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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Frank Ballinger’s Registration & Firm History

FL

01/01/2025 - Present

Aegis Capital Corp. (LANTANA FL)

VA

11/01/1996 - 10/26/2023

CAPITOL SECURITIES MANAGEMENT, INC. (RESTON VA)

NY

07/31/1993 - 11/07/1996

SMITH BARNEY INC. (NEW YORK NY)

NY

05/07/1993 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NJ

01/22/1981 - 05/20/1993

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

10/05/1979 - 02/16/1981

BUTCHER & SINGER INC.

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Licenses & Designations

IA

Issued 12/21/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/02/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/15/1979

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 2 public disclosures for Frank Alexander Ballinger. Review regulatory record here.
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