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Rick John Sande

Aegis Capital Corp.

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About Rick John Sande

Rick Sande is an investment advisor representative for Aegis Capital Corp. Rick Sande has been in the industry since July 20, 2005 and has a strong track record of success in helping clients reach their financial goals. Rick Sande is registered with the state of New York and is a member of the Financial Industry Regulatory Authority (FINRA). Rick Sande specializes in providing financial advice to individuals and businesses. Rick Sande is dedicated to providing personalized service and building long-lasting relationships with clients.

Firm Information

Rick Sande 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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Rick Sande’s Registration & Firm History

NY

07/12/2023 - Present

Aegis Capital Corp. (MELVILLE NY)

NY

07/21/2005 - 03/02/2010

GUNNALLEN FINANCIAL, INC (FARMINGDALE NY)

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Licenses & Designations

IA

Issued 07/11/2023

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/08/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/20/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 3 public disclosures for Rick John Sande. Review regulatory record here.
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