Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Rovner is a financial advisor who has been in the industry since 1998. Currently, Sergio is registered with Aegis Capital Corp. and has been since 2014. Sergio previously worked for ROCKWELL SECURITIES LLC, ANDREW GARRETT INC., S.W. BACH & COMPANY, MORGAN, TAYLOR & ASSOCIATES, INC., CAPITAL INTERNATIONAL SECURITIES GROUP, INC., WOLFF INVESTMENT GROUP INCORPORATED, W.J. NOLAN & COMPANY, INC. and FIRST UNITED EQUITIES CORPORATION. Sergio holds Series 63, Series 24, SIE, and Series 7 licenses and is registered in 27 states. Sergio specializes in Portfolio Management for Individuals, Portfolio Management for Businesses, and Portfolio Management for Pooled Investment Vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
07/02/2014 - Present
Aegis Capital Corp. (NEW YORK NY)
NY
04/24/2007 - 08/06/2014
ROCKWELL SECURITIES LLC (NEW YORK NY)
NY
02/27/2007 - 04/30/2007
ANDREW GARRETT INC. (UNIONDALE NY)
NY
06/16/2000 - 03/01/2007
S.W. BACH & COMPANY (PORT WASHINGTON NY)
NY
09/10/1999 - 10/20/1999
MORGAN, TAYLOR & ASSOCIATES, INC. (MINEOLA NY)
FL
04/30/1998 - 08/25/1999
CAPITAL INTERNATIONAL SECURITIES GROUP, INC. (MIAMI FL)
NY
02/04/1998 - 05/16/1998
WOLFF INVESTMENT GROUP INCORPORATED (NEW YORK NY)
NY
10/17/1997 - 12/16/1997
W.J. NOLAN & COMPANY, INC. (NEW YORK NY)
NY
08/27/1997 - 10/23/1997
FIRST UNITED EQUITIES CORPORATION (NEW YORK NY)
BC
Issued 09/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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