Unclaimed Profile

Peter Tomlinson Roe

AEGIS CAPITAL, LLC·CHARLOTTE, North Carolina

SIE, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 66Clean record31 years registeredAEGIS CAPITAL, LLC

525 N TRYON ST, CHARLOTTE, NC 28202CRD# 2255241Firm CRD# 125376

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Peter Tomlinson Roe · CHARLOTTE, NC

Registration

CRD #2255241 · AEGIS CAPITAL, LLC · 31 years registered

Brand Profile

Not yet started

Career History

CETERA INVESTMENT ADVISERS LLC

Mar 2024 – present

CETERA ADVISORS LLC

Feb 2015 – present

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Jul 2011 – Mar 2015

ASHEVILLE, NC

CIRCLE ONE WEALTH MANAGEMENT, LLC

Jan 2010 – Mar 2012

MOUNT PLEASANT, SC

TRITON FINANCIAL, LLC

Jul 2009 – Dec 2010

AUSTIN, TX

MULTI-FINANCIAL SECURITIES CORPORATION

Jan 2007 – Jul 2009

ALTAMONTE SPRINGS, FL

HORIZON FINANCIAL GROUP,LLC

Nov 2005 – Dec 2006

MOORESVILLE, NC

RAYMOND JAMES FINANCIAL SERVICES

Feb 1995 – Oct 2005

HUNTERVILLE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 66

Registration record

First registered · February 14, 1995

Years registered · 31

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

AEGIS CAPITAL, LLC

CRD 125376 · SEC 801-63063

AUM

$3M

Regulatory assets under management

Employees

111 client accounts

Services offered by AEGIS CAPITAL, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at AEGIS CAPITAL, LLC →

Introduction

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Frequently Asked Questions

What services does Peter Tomlinson Roe offer?

Peter Tomlinson Roe specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in CHARLOTTE, North Carolina for a consultation.

What are Peter Tomlinson Roe's credentials?

Peter Tomlinson Roe is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Peter Tomlinson Roe located?

Peter Tomlinson Roe is based in CHARLOTTE, North Carolina, working with AEGIS CAPITAL, LLC. Their office serves clients in the CHARLOTTE metropolitan area and surrounding communities.

How does Peter Tomlinson Roe charge for services?

Peter Tomlinson Roe's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is AEGIS CAPITAL, LLC?

AEGIS CAPITAL, LLC has approximately 11 employees and manages $3M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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