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James Robert Brennan

Aegis Capital Corp.

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About James Robert Brennan

James Robert Brennan is a financial advisor with Aegis Capital Corp. located in Syracuse, NY. James has been in the industry since 1984 and has a wide range of experience in financial planning and portfolio management. James is registered with the state of New York and is a Series 7, Series 63, and Series 65 licensed advisor. Prior to joining Aegis Capital Corp., James worked at Principal Securities, Inc., Banc of America Investment Services, Inc., Quick & Reilly, Inc., and Morgan Stanley DW Inc.

Firm Information

James Brennan 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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James Brennan’s Registration & Firm History

NY

07/26/2021 - Present

Aegis Capital Corp. (SYRACUSE NY)

NY

03/28/2007 - 07/14/2021

PRINCIPAL SECURITIES, INC. (SYRACUSE NY)

NY

10/20/2004 - 03/23/2007

BANC OF AMERICA INVESTMENT SERVICES, INC. (SYRACUSE NY)

NY

05/23/2003 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

NY

09/25/1984 - 05/16/2003

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 06/30/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/09/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/15/1984

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 James Robert Brennan.
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