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Mark Douglas Panfil

Aegis Capital Corp.

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About Mark Douglas Panfil

Mark Douglas Panfil is a financial advisor with over 30 years of experience in the industry. Mark currently works at Aegis Capital Corp. Mark is registered in 30 states. Mark also holds Series 3, 7, and 63 licenses, as well as the Series 65 and SIE exams. Mark specializes in providing financial planning and portfolio management for individuals, businesses, and pooled investment vehicles.

Firm Information

Mark Panfil 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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Mark Panfil’s Registration & Firm History

NY

10/10/2022 - Present

Aegis Capital Corp. (MELVILLE NY)

CA

03/22/2016 - 11/04/2022

MORGAN STANLEY (El Segundo CA)

CA

03/26/2009 - 04/15/2016

RBC CAPITAL MARKETS, LLC (EL SEGUNDO CA)

CA

07/01/2003 - 03/27/2009

WACHOVIA SECURITIES, LLC (ROLLING HILLS ESTATES CA)

NY

06/13/2003 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/31/1993 - 06/26/2003

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/09/1990 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

CA

10/18/1988 - 05/17/1990

BARABAN SECURITIES, INC. (LOS ANGELES CA)

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Licenses & Designations

IA

Issued 06/23/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/14/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/1990

Series 3 - National Commodity Futures Examination

BC

Issued 09/17/1988

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 Mark Douglas Panfil. Review regulatory record here.
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