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William Lee Notrica

Investment Adviser Representative at AEGIS CAPITAL CORP.

Laguna Niguel, CACRD #817537Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
50 yrs
States Registered
20 states
Exams Passed
10

Professional summary

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

William Lee Notrica has worked in the securities industry since 1976. They are registered to provide investment advisory services in 20 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 20 states
ArizonaCaliforniaColoradoConnecticutFloridaGeorgiaIdahoIllinoisNevadaNew JerseyNew YorkOhioOklahomaOregonPennsylvaniaPuerto RicoSouth CarolinaTexasUtahWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/2/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 10/3/1983
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 5
Interest Rate Options Examination
Passed 10/12/1981
PC
AMEX Put and Call Exam
Passed 8/29/1977
Series 7
General Securities Representative Examination
Passed 1/17/1976
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 5/31/1990
Series 4
Registered Options Principal Examination
Passed 2/23/1981

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
2/24/2022Laguna Niguel, CA
RBC CAPITAL MARKETS, LLC
2/25/20042/18/2022Newport Beach, CA
WACHOVIA SECURITIES, LLC
5/3/20022/27/2004Newport Beach, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at AEGIS CAPITAL CORP.

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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. William Lee Notrica 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.

William Lee Notrica - Financial Advisor in Laguna Niguel, CA | AdvisorFinder