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Matthew Winthrop

Investment Adviser Representative at AEGIS CAPITAL CORP.

Melville, NYCRD #2445102Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
32 yrs
States Registered
6 states
Exams Passed
6

Professional summary

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

Matthew Winthrop has worked in the securities industry since 1994. They are registered to provide investment advisory services in Connecticut, Florida, New York, Pennsylvania, Texas, and Virginia.

Registrations & licenses

Registration type
Dual-registered
Registered in 6 states
ConnecticutFloridaNew YorkPennsylvaniaTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/18/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 4/4/1994
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 4/28/1994
Series 7
General Securities Representative Examination
Passed 3/16/1994
Series 24
General Securities Principal Examination
Passed 1/12/2019

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
9/25/2025Melville, NY
AEGIS CAPITAL CORP.Current
9/25/2025Easton, CT
EQUITABLE ADVISORS, LLC
1/10/20229/18/2025Easton, CT
AEGIS CAPITAL CORP.
10/16/20172/1/2022Westport, CT
RBC CAPITAL MARKETS, LLC
7/14/201110/24/2017Westport, CT
OPPENHEIMER & CO. INC.
8/15/20077/15/2011Stamford, CT
H&R BLOCK FINANCIAL ADVISORS, INC.
8/26/20038/15/2007Greenwich, CT
UBS PAINEWEBBER INC.
1/11/200012/2/2002Greenwich, CT

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. Matthew Winthrop 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.

Matthew Winthrop - Financial Advisor in Melville, NY | AdvisorFinder