Articles Tagged with Sergio Rovner

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Sergio Rovner
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Aegis Capital Corporation broker Sergio Rovner has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rovner (CRD# 2884441).

Sergio Rovner has spent 19 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since 2014. Previous registrations include Rockwell Securities in New York, New York (2007-2014); Andrew Garrett Inc. in Uniondale, New York (2007); SW Bach & Company in Port Washington, New York (2000-2007); Morgan Taylor & Associates in Mineola, New York (1999); Capital International Securities Group in Miami, Florida (1998-1999); Wolff Investment Group in New York, New York (1998); WJ Nolan & Company in New York, New York (1997); and First United Equities Corporation in New York, New York (1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 3, 1997; Series 7 (General Securities Representative Examination), which he obtained on August 26, 1997; and Series 24 (General Securities Principal Examination), which he obtained on January 19, 1999. He is a registered broker with 27 US states and territories.

According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.