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Aram Gregory Dertorossian

CRD# 1165053·Registered 1986 - 2014
Previously Registered: Being a previously registered professional could mean that Aram 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.

Professional Summary

Aram Gregory Dertorossian, who also goes by A Greg Dertorossian, Aram Greg Dertorossian, was a registered financial advisor. Aram was a previously registered financial advisor and started their career in finance 1986 - 2014. Aram had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

A Greg Dertorossian, Aram Greg Dertorossian

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

FIRST MIDWEST SECURITIES, INC.·CRD# 21786
RIA
Woodside, CA
May 8, 2013 - January 7, 2014
FIRST MIDWEST SECURITIES, INC.·CRD# 21786
BD
Woodside, CA
April 13, 2013 - January 7, 2014
SARATOGA RESEARCH & INVESTMENT MANAGEMENT·CRD# 110506
RIA
Saratoga, CA
April 5, 2010 - March 28, 2011
MUTUAL SECURITIES, INC.·CRD# 13092
RIA
Saratoga, CA
July 11, 2008 - June 17, 2010
MUTUAL SECURITIES, INC.·CRD# 13092
BD
Saratoga, CA
June 7, 2007 - August 16, 2011
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Menlo Park, CA
February 26, 1999 - June 11, 2007
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Menlo Park, CA
February 16, 1999 - June 11, 2007
PIPER SANDLER & CO.·CRD# 665
BD
Minneapolis, MN
August 29, 1996 - March 5, 1999
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
March 31, 1987 - September 9, 1996
BWS, INC.·CRD# 17569
BD
November 14, 1986 - April 6, 1987

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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

Contact Information

Established

Wisconsin since 03/02/1987

Firm Type

Corporation

Fiscal Year End

December

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 Event

9

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1994About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1986About the Series 7 exam

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CRS (Client Relationship Summary)

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

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