Keith D’Agostino (CRD #: 2837860), a broker registered with Aegis Capital Corp., has two disclosures on his BrokerCheck record, accessed on December 7, 2020. Details of those disclosures are provided below.

John Goodman Received Unsuitability Complaints

On May 11, 2017, Keith D’Agostino’s client alleged poor performance. The client sought $170,000; the dispute resolved for $92,000.

On August 12, 2013, a client alleged that Mr. D’Agostino was negligent and engaged in common law fraud. The client further alleged that Keith D’Agostino had violated Florida law and had engaged in unjust enrichment. The client sought $725,000; the dispute settled for $220,000.

Keith D’Agostino has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 9 General Securities Sales Supervisor, and the Series 24 General Securities Principal Examination. He is a registered broker in California, Florida, Illinois, Nebraska, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, and Texas.

Keith D’Agostino has worked in the securities industry for 23 years. During that time, he has worked for the following firms:

  • Aegis Capital Corp. (CRD #: 15007)
  • Stifel Nicolaus & Company (CRD #: 793)
  • Oppenheimer & Co. (CRD #: 249)
  • Ladenburg Thalmann & Co. (CRD #: 505)
  • Wachovia Securities (CRD #: 19616)
  • Quick & Reilly (CRD #: 11217)
  • Ladenburg Capital Management (CRD #: 14623)

If Keith D’Agostino was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email for a free case consultation with a securities attorney.

Leave a Comment