Full text of AEGIS CAPITAL CORP.'s X-17A-5 filed 2025-01-29 (period 2024-11-30). 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 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response:<br>12 | | |---------------------------|--| | | | | SEC FILE NUMBER | | | 8-31616 | | **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **12/01/2023** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Aegis Capital Corp. TYPE OF REGISTRANT (check all applicable boxes): [.] Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant AND ENDING **11/30/2024** 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<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Nawrocki Smith LLP | | | | | | 100 Motor Parkway Suite 580 | (Name-if individual, state last, first, and middle name)<br>Hauppauge | NY | | | | (Address) | (City) | (State) | 11788<br>(Zip Code) | | | 03/04/2009 | | 3370 | | | \* 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 control 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