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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

FELIX RAFAEL FUERTES

Advisor at AEGIS CAPITAL CORP.

NEW YORK, NY | CORAL GABLES, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2002 to Sep 14, 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: Nov 11, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 11, 1999
First registration: Jun 6, 2002
Dual registered: yes, broker-dealer
Other names: FELIX R FUERTES|FELIX FUERTES
IAPD individual key: 3241041

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	Apr 21, 2017	n/a	yes	NEW YORK, NY\|CORAL GABLES, FL	Current employment
NORTHEAST ASSET MANAGEMENT LLC	Former SEC adviser	Jun 22, 2015	Apr 20, 2017	no	MIAMI, FL	Previous registration
BOLTON GLOBAL ASSET MANAGEMENT	Bd affiliated wealth	Oct 9, 2013	Jun 1, 2015	no	Coral Gables, FL\|BOLTON, MA\|BOLTON, MA\|MIAMI, FL\|CORAL CABLES, FL\|Miami, FL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	May 12, 2009	Oct 2, 2013	no	MIAMI, FL	Previous registration
UBS INTERNATIONAL INC.	n/a	Jun 6, 2002	May 21, 2009	no	CORAL GABLES, FL\|CORAL GABLES, FL	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
NORTHEAST ASSET MANAGEMENT LLC	AEGIS CAPITAL CORP.	Apr 20, 2017	Apr 21, 2017	1	Firm change	Other
BOLTON GLOBAL ASSET MANAGEMENT	NORTHEAST ASSET MANAGEMENT LLC	Jun 1, 2015	Jun 22, 2015	21	Firm change	Other
RBC CAPITAL MARKETS, LLC	BOLTON GLOBAL ASSET MANAGEMENT	Oct 2, 2013	Oct 9, 2013	7	Firm change	Other
UBS INTERNATIONAL INC.	RBC CAPITAL MARKETS, LLC	May 21, 2009	May 12, 2009	-9	Firm change	Other

Relationships

Registered with (5)

→ AEGIS CAPITAL CORP.Registered adviserregistration: current employment
Apr 21, 2017 to presentfactForm ADV
→ NORTHEAST ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 22, 2015 to Apr 20, 2017factForm ADV
→ BOLTON GLOBAL ASSET MANAGEMENTRegistered adviserregistration: previous registration
Oct 9, 2013 to Jun 1, 2015factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
May 12, 2009 to Oct 2, 2013factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Jun 6, 2002 to May 21, 2009factForm ADV

Dated events

No dated event names this entity yet.