Advisor at Aegis Capital Corp.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Aegis Capital Corp.
Location
Newark, DE
Credentials
Series 63, Series 65
Industry experience
33 years
Phillip Farmer is a financial advisor at Aegis Capital Corp. with 33 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Bank of America and Merrill. Outside of his advisory role, he is involved with ACC Corp., a general insurance agency. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients by providing investment advisory and brokerage services, financial planning, and managed account programs through RBC and AXOS platforms. The firm offers both discretionary and non-discretionary account options and supports a range of client objectives and restrictions.
Based on Aegis Capital Corp.
$0 - $250,000: Up to 3.00% (if most transaction costs charged to Adviser) or up to 2.50% (if most transaction costs charged to client) $250,001 - $1,000,000: Up to 2.75% (if most transaction costs charged to Adviser) or up to 2.25% (if most transaction costs charged to client) $1,000,001+: Up to 2.50% (if most transaction costs charged to Adviser) or up to 2.00% (if most transaction costs charged to client)
Hourly fees may be charged for financial planning engagements; initial meeting is free. Specific hourly rates not stated.
Newark, DE
Alabama · Delaware · Florida · Georgia · Maryland · Minnesota · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Texas · Virginia
Aegis Capital Corp
2021 - Present (5 years)
BANK of AMERICA, N.A.
2016 - 2021 (5 years)
Merrill
2015 - 2021 (6 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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Age Wisely Financial
Hi! I'm Kevin Lam, and I am the owner of Age Wisely Financial. With more than four decades of accumulated financial wisdom, I guide you (or your parents) in gaining understanding, making decisions, and taking action in such key areas as: • Purpose in Life: crafting a Life Purpose Statement • Income Stability: analyzing Social Security, pensions, investments, annuities • Portfolio Review: assessing asset tax status and allocation for alignment with goals and safeguards • Withdrawing from Investments: evaluating Target Funds, Guardrails, Bucketing, Bond Ladders • Medicare: reviewing current and projected health care costs and coverage • Roth Conversions: potentially lowering taxes in future years • Required Minimum Distributions (RMD): reducing through Qualified Charitable Distributions (QCD) and Qualified Longevity Annuity Contracts (QLAC) • Inheriting an IRA: untangling the complexities of the Required Beginning Date (RBD), 5-year, 10-year, and other rules • Donor Advised Funds (DAF) and Qualified Charitable Distributions (QCD): using strategies to meet your philanthropic goals and reduce tax • Loss of Spouse: mitigating “widow/widower’s tax penalty” + maximizing Social Security survivor benefits • Long-Term Care: searching for affordable choices • Reverse Mortgage: evaluating for appropriate use in accessing home equity • Aging in Place Modification: assessing home changes for continued independent living • Care Facility Search: helping locate care facilities • Identity Theft and Fraud Prevention: using available protection tools • Legacy Vision: communicating values and memories to future generations • Trusts: explaining use of Intentionally Defective Grantor Trust (IDGT), Grantor Retained Annuity Trust (GRAT), Domestic Asset Protection Trust (DAPT), Qualified Personal Residence Trust, (QPRT), Charitable Remainder Trust (CRT), and other advanced trusts. I serve you on a flat-fee basis. For individuals, $4,500. For couples, $6,000. I also serve you as Advice-Only. This means I provide recommendations for your asset portfolio (and your entire financial ecosystem), but you are always in command of your assets. You do not pay me any Asset Under Management (AUM) fees. You do not need to transfer any of your accounts. Let's talk. Let's work together to understand your concerns and goals, figure out your choices, and help you navigate your best course of action. Let's gain you comfort in your mind, and heart.
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