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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

JAMES ROBERT BRENNAN

Advisor at AEGIS CAPITAL CORP.

SYRACUSE, NY | MELVILLE, NY

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Search this name across graphsid dfx:ria:4176ac2c-8a0f-3e05-f86b-c20ae8cf2849

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 1, 2004 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Oct 9, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 9, 1984
First registration: Jul 1, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 1302485

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AEGIS CAPITAL CORP.	Bd affiliated wealth	Jul 26, 2021	n/a	yes	SYRACUSE, NY\|MELVILLE, NY	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 30, 2021	Jul 14, 2021	no	SYRACUSE, NY\|CLAY, NY	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Mar 23, 2007	no	CICERO , NY\|ITHACA, NY\|ITHACA, NY\|WOLCOTT, NY\|ITHACA, NY\|SYRACUSE, NY\|MANLIUS, NY\|SYRACUSE, NY\|FAYETVILLE, NY\|CICERO, NY	Previous registration
QUICK & REILLY, INC.	n/a	Jul 1, 2004	Oct 20, 2004	no	CICERO, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRINCIPAL SECURITIES, INC.	AEGIS CAPITAL CORP.	Jul 14, 2021	Jul 26, 2021	12	Firm change	Ibd to ibd
BANC OF AMERICA INVESTMENT SERVICES, INC.	PRINCIPAL SECURITIES, INC.	Mar 23, 2007	Jun 30, 2021	5,213	Firm change after gap	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AEGIS CAPITAL CORP.Registered adviserregistration: current employment
Jul 26, 2021 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 30, 2021 to Jul 14, 2021factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Mar 23, 2007factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jul 1, 2004 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.