Full text of AEGIS CAPITAL CORP.'s X-17A-5 filed 2023-05-11 (period 2022-11-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS FORM X-17A-S PART** Ill FACING **PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 12/01/2021 | AND ENDING 11/30/2022 | |--------------------------------------------|-----------------------| | | | MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Aegis Capital Corp. TYPE OF REGISTRANT (check all applicable boxes): l!l Broker-dealer O Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) # 1345 AVENUE OF THE AMERICAS 27th FLOOR | | (No. and Street) | | | | |-------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------|------------------------------|--| | NEW YORK | NY | | 10105 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Thomas C. Poss | (212) 813-1010 | | tposs@aegiscap.com | | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Nawrocki Smith LLP | (Name- if individual, state last, first, and middle name) | | | | | 100 Motor Parkway Suite 580 Hauppauge | | NY | 11788 | | | (Address) | (City) | (State) | (Zip Code) | | | r<br>3/4/2009 | | 3370 | | | | o< , MOoo, ~)<'"""'''<br>>OO 0"""' US< ONLY | | | ,.~, "'""""" _,m~,. • """""1 | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(1)(ii), if applicable. Persons who are to respond to the collection of Information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235~0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | SEC FILE NUMBER 8-31616 {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | |…Read the full text as markdown