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Tom Herity
Compliance Officer at Aegis Capital Corp.
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Work Experience
Compliance Officer
Apr 2023 - Present · 1 years and 8 months
Compliance
Oct 2016 - Present · 8 years and 2 months
Rothschild Lieberman LLC
Chief Compliance Officer & Aml Officer
May 2015 - Oct 2016 · 1 years and 5 months
Company Details
201-500 Employees
Aegis Capital Corporation “Aegis” has been in business for over 35 years catering to the needs of private clients, institutions and corporations. Aegis was founded in 1984 and offers its investment representatives a conflict free service platform and is able to provide a full-range of products and services including investment banking, wealth management, insurance, retirement planning, structured products, private equity, alternatives, equity research, fixed income and special purpose vehicles. Aegis is able to provide quality service through its primary clearing relationship with RBC Correspondent Services whose parent company, Royal Bank of Canada (NYSE:RY), is one of the world’s leading diversified financial services companies. Member: FINRA / SIPC
Year Founded
1984
Social Media
Linkedin
Industry
Financial Services, Independent financial advisers, Financial and insurance services, Business Services
HQ Location
1345 Avenue of the Americas 27th Floor New York, NY 10105, US
Keywords
Wealth Management and Investment Banking
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