This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

AEGIS CAPITAL CORP.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Mar 9, 1987earliest registration or exam on IAPD

Years in industry

39derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

6

Exams

S65|S63

First exam

Mar 9, 1987

First registration

Mar 12, 2015

Dual registered

yes, broker-dealer

Other names

JAMES BERTALAN

IAPD individual key

1629437

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3555b5c0-a92f-031f-b012-74a46e8f021d

First observed

Mar 12, 2015

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.