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William Randall Moening

Investment Adviser Representative at AEGIS CAPITAL CORP.

Austin, TXCRD #3029155Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
1 states
Exams Passed
7

Professional summary

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

William Randall Moening has worked in the securities industry since 1998. They are registered to provide investment advisory services in Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Texas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/28/2009
Series 63
Uniform Securities Agent State Law Examination
Passed 4/21/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/3/2008
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/17/1998
Series 24
General Securities Principal Examination
Passed 12/30/2008
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 1/12/2001

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
5/16/2025Austin, TX
AEGIS CAPITAL CORP.
5/1/20255/4/2025New York, NY
RBC CAPITAL MARKETS, LLC
2/22/20244/9/2025Austin, TX
WELLS FARGO CLEARING SERVICES, LLC
4/30/200912/21/2023Austin, TX

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. William Randall Moening 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 Randall Moening - Financial Advisor in Austin, TX | AdvisorFinder