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Francis J McKenna

Investment Adviser Representative at AEGIS CAPITAL CORP.

Westport, CTCRD #4825383Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
9 yrs
States Registered
2 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaConnecticut
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/3/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 8/7/2023
Series 52
Municipal Securities Representative Examination
Passed 12/1/2023
Series 7
General Securities Representative Examination
Passed 7/31/2023
SIE
Securities Industry Essentials Examination
Passed 7/3/2023
Series 7
General Securities Representative Examination
Passed 5/19/2005
Series 24
General Securities Principal Examination
Passed 8/14/2024
Series 53
Municipal Securities Principal Examination
Passed 12/21/2023

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $250,000 (client pays transaction costs)2.50%
Next $750,000 (client pays transaction costs)2.25%
Over $1,000,000 (client pays transaction costs)2.00%
First $250,000 (adviser pays transaction costs)3.00%
Next $750,000 (adviser pays transaction costs)2.75%
Over $1,000,000 (adviser pays transaction costs)2.50%
Source

Aegis Capital Corp. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

AEGIS CAPITAL CORP.Current
12/8/2023Westport, CT
MORGAN STANLEY SMITH BARNEY LLC
7/28/201012/21/2011Purchase, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
1/23/20086/11/2010Jersey City, NJ

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Francis J McKenna has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Francis J McKenna - Financial Advisor in Westport, CT | AdvisorFinder