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Nicholas E Trifiro

Aegis Capital Corp.

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About Nicholas E Trifiro

Nicholas Trifiro is an investment advisor representative currently registered with Aegis Capital Corp. Nicholas has been working in the industry since January 14, 1996. Nicholas is also a registered investment advisor with Securities America Advisors. Nicholas has held previous positions at InvestACorp and UBS Paine Webber Inc.

Firm Information

Nicholas Trifiro 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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Nicholas Trifiro’s Registration & Firm History

NY

03/29/2023 - Present

Aegis Capital Corp. (MELVILLE NY)

NY

07/17/2020 - 01/19/2023

SECURITIES AMERICA, INC. (ROCHESTER NY)

NY

09/18/2002 - 07/17/2020

INVESTACORP, INC. (ROCHESTER NY)

NJ

01/15/1996 - 10/01/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

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Licenses & Designations

IA

Issued 03/29/2023

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/23/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative 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 01/12/1996

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 Nicholas E Trifiro. Review regulatory record here.
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