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Joshua Lawrence Feldman

Investment Adviser Representative at AEGIS CAPITAL CORP.

White Plains, NYCRD #4409229Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
20 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Joshua Lawrence Feldman has worked in the securities industry since 2001. They are registered to provide investment advisory services in 20 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 20 states
CaliforniaColoradoConnecticutFloridaHawaiiIllinoisIowaMaineMassachusettsNew HampshireNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaRhode IslandTexasUtahVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/20/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 10/8/2001
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/21/2001
Series 24
General Securities Principal Examination
Passed 8/4/2020

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
12/2/2011White Plains, NY
AEGIS CAPITAL CORP.Current
12/1/2011White Plains, NY
FMSI ADVISERS
1/20/200912/16/2011Syosset, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
12/21/200612/22/2008White Plains, NY

Official records & sources

Data as of May 30, 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. Joshua Lawrence Feldman 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.

Joshua Lawrence Feldman - Financial Advisor in White Plains, NY | AdvisorFinder