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Aram G. Dertorossian

Some features on this profile are disabled
CRD#: 1165053
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Aram Gregory Dertorossian, who also goes by A Greg Dertorossian, Aram Greg Dertorossian, was a registered financial advisor .

Aram is a previously registered financial advisor and started their career in finance in 1986. Aram had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

A Greg Dertorossian | Aram Greg Dertorossian

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 8, 2013 - January 7, 2014

FIRST MIDWEST SECURITIES, INC.

RIA
CRD#: 21786
WOODSIDE, CA
Past

April 13, 2013 - January 7, 2014

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
WOODSIDE, CA
Past

April 5, 2010 - March 28, 2011

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

RIA
CRD#: 110506
SARATOGA, CA
Past

July 11, 2008 - June 17, 2010

MUTUAL SECURITIES, INC.

RIA
CRD#: 13092
SARATOGA, CA
Past

June 7, 2007 - August 16, 2011

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
SARATOGA, CA
Past

February 26, 1999 - June 11, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MENLO PARK, CA
Past

February 16, 1999 - June 11, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MENLO PARK, CA
Past

August 29, 1996 - March 5, 1999

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

March 31, 1987 - September 9, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 14, 1986 - April 6, 1987

BWS, INC.

BD
CRD#: 17569

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/17/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/15/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination

Current Firm

FM
FIRST MIDWEST SECURITIES, INC.
ABLESTRONG SECURITIES, INC. | FMSI ADVISERS | FIRST MIDWEST SECURITIES, INC.

CRD#: 21786 / SEC#: 801-67749, 8-38139

BD
Cancelled by SEC on 09/28/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 03/02/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FMSI BROCHURE 20141111 (3/26/2015)

Direct owners and executive officers

NamePositionCRD#
THE INVESTMENT CO., INC.HOLDING CORP.
CROSSON, GORDON SCOTTRIA CCO/AML CO1068512
LINNA, JAMESCHAIRMAN/CEO0252013/MUNI PRINCIPAL 11/2014733321
SUTTON, KELLYOPERATIONS PRINCIPAL/VP/COO/ROSFP-OPTIONS MANAGER/CCO2033974
TRACTENBERG, ELIZABETH MARIEFINOP4577334

Disclosures

Regulatory Event9
Arbitration3

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.

Company Information

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

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