Full text of AEGIS CAPITAL CORP.'s X-17A-5 filed 2026-02-03 (period 2025-11-30). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-31616 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **12/01/2024** AND ENDING **11/30/2025** MM/DD/VY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Aegis Capital Corp. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer □ Major security-based swap participant D 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 | |--|--|----------------------------------------| | | | | | New York | | | | |--------------------------------------------------|------------------------------------------------------------|-----------------|-------------------------------------------| | | NY | | 10105 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Thomas C. Poss | ( 21 2) 813-1 01 0 | | tposs@aegiscap.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | 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) | | 03/04/2009 | | 3370 | | | | | | (PCAOB Regl,Uatlo, N,mbe,, If applicable) | | l"<br>of Reglstcatloo with PCAOB)(lf applicable) | | | | • 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)(l)(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 qmtrol number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Robert J. Eide | | , swear (or affirm) that, to the best of my knowledge and belief, the | | | |----------------------------------------------------------------|----|-------…Read the full text as markdown