About Roger K. Baumberger

Member, Board of Advisors

Roger Baumberger joined Aegis Capital Corp. in March 2013 as Senior Managing Director of Private Equity Banking and Chief Operating Officer of SternAegis Ventures. Mr. Baumberger’s extensive investment banking and corporate finance experience at New York City-based firms has been focused on private and public emerging growth companies in all sectors including healthcare, technology, software, internet and telecommunications. Specific areas of professional expertise include private placement of equity and debt, including venture capital and PIPE financings; mergers and acquisitions; initial public offerings; and the valuation of securities and business. 

From 1995 until March 2013, Mr. Baumberger was with Spencer Trask Ventures, Inc. where he was Senior Managing Director, Investment Banking. Prior senior corporate finance positions were held at Josephthal & Company, BDO Seidman, Ladenburg Thalmann & Co., The Equitable Life Assurance Society and Marine Midland Bank. He is member of the New York Society of Security Analysts and CFA Institute. Additionally, he is a past president of The Executive Forum and a director of the NYU Alumni Association.

Mr. Baumberger’s academic credentials include designation as a Chartered Financial Analyst, an MBA. with distinction from New York University’s Stern School of Business, and an AB from Dartmouth College.