Joshua Lawrence Feldman
Investment Adviser Representative at Aegis Capital Corp.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joshua Lawrence Feldman is an investment adviser representative with Aegis Capital Corp. in White Plains, NY, where they have been registered since 2011. They have worked in the securities industry since 2001 and have been registered with 3 firms, including FMSI Advisers and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in 10 states.
Registrations & licenses
- Investment adviser:
- California, Connecticut, Florida, Hawaii, Massachusetts, New Jersey, New York, Ohio, Rhode Island, Texas
- Broker:
18 states and territories
California, Colorado, Connecticut, Florida, Hawaii, Illinois, Iowa, Maine, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Texas, Utah, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Aegis Capital CorpDec 2011 – no end date reportedNew York, NY
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Aegis Capital Corp.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- 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%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Wealth management, investment banking, equity research, institutional sales and trading, retirement planning, private equity, fixed income, insurance, alternative products, special purpose vehicles, and structured products. Individual investor services include portfolio management, advisory/managed accounts, estate planning, education planning, and a range of financial products. Corporate and institutional services include capital markets, financial facilitation, and financial advisory services covering mergers and acquisitions, divestitures, restructurings, and various public and private offerings.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 101
- Offices listed on AdvisorFinder:
- 21
- Main office:
- New York, NY
- Founded:
- 1984
- SEC file number:
- 801-71386
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 25, 2026
View full firm profileOther advisors at Aegis Capital Corp.
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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.
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