Thomas
Dowling

Aegis Capital Corp

CRD#2573963
Investment Advisor
in New York, NY
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About this Advisor

Thomas Dowling is a certified financial planner and chartered financial analyst located in New York, New York. Currently a registered advisor at Aegis Capital Corp, Dowling has 13 years of professional experience as a financial advisor. Dowling maintains Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative. Dowling can work with investors based out of California, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, Nevada, Pennsylvania, South Carolina, Texas, Virginia and New Jersey. Over the course of their career, Dowling has held roles at Gunnallen Financial, Aegis Capital Corp and Fsc Securities Corp. Aegis Capital Corp is based out of New York, New York, and operates out of 26 brick-and-mortar locations in the nation. In total, Aegis Capital Corp manages $507 million in assets throughout 1,439 accounts and retains more than 63 people. The amount of assets the firm manages places it among the larger firms in the country. The firm manages 155 accounts on a discretionary basis, in which the advisor makes all of the buying and selling decisions on the client's behalf. None of the advisor firm's 1,439 clients are considered high-net-worth individuals, who are defined as investors who have more than $1 million in capital. Aegis Capital Corp can provide portfolio management for individuals and small businesses and selection of other advisers. The firm's fees may include asset-based and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner, Chartered Financial Analyst

Years of Experience

13 years

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers

Fee Structure

Percentage of Assets, Commissions

Disclosures

No

Office Location

40 Wall Street 46Th Floor
New York, NY 10005

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Aegis Capital Corp Brokerage Details

Total Assets Under Management

$542,547,187

NY Average: $7,464,549,021
Total Number of Employees

61

NY Average: 88
Total Number of Accounts

1,542

NY Average: 3,892
Average Account Size

$351,846

NY Average: $1,917,921

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers

Thomas Dowling Work History

Thomas has 13 years of experience.

2017 - Present (2 years)

Aegis Capital Corp

2017 - 2017 (0 years)

Fsc Securities Corp

2010 - 2017 (7 years)

Aegis Capital Corp

2005 - 2010 (5 years)

Gunnallen Financial

Disclosures

Thomas Dowling has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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