Aaron Schroeder

FARMINGBURY FINANCIAL SERVICES

WOLCOTT, CT 06716

Some features on this profile are disabled

CRD#: 1051414

Professional summary

Aaron Schroeder is a registered financial advisor currently at FARMINGBURY FINANCIAL SERVICES, LLC located in Wolcott, Connecticut.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Aaron has worked at 5 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Aaron Schroeder, Connecticut licensed insurance producer, not investment-related, 724 Wolcott Rd., Wolcott, CT, start date: 03/1981, spending less than 50% of time, some time may be during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Schroeder's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 29, 1999 - Present

FARMINGBURY FINANCIAL SERVICES, LLC

Office #1: 724 Wolcott Road P.o. Box 6155, Wolcott, CT 06716

RIA

CRD#: 127323

WOLCOTT, CT

Past

August 18, 2005 - November 9, 2005

SUMMIT CAPITAL ADVISORS, LLC

RIA

CRD#: 125700

EAST HARTFORD, CT

Past

June 29, 2004 - April 18, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WOLCOTT, CT

Past

October 23, 1989 - May 28, 2004

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

November 18, 1982 - December 5, 1989

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(4/29/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/17/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FARMINGBURY FINANCIAL SERVICES, LLC

CRD#: 127323 / SEC#:

Connecticut

Registered Investment Advisory firm - (4/29/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

724 Wolcott Road, Suite 5, Wolcott, CT 06716-6155

Mailing Address

724 Wolcott Road, Suite 5 P.o. Box 6155, Wolcott, CT 06716-6155

Phone number

(203) 879-1994

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 7,782,926

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Aaron Schroeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Schroeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARMINGBURY FINANCIAL SERVICES, LLC

SUMMIT CAPITAL ADVISORS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MAIN STREET MANAGEMENT COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/1992

Series 6

Date: 11/17/1982

Current Firm

FARMINGBURY FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FARMINGBURY FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors