Steven R. Aaron
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.
Steven Ross Aaron was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2021 - June 28, 2024
HOULIHAN LOKEY CAPITAL, INC.
September 7, 2018 - February 19, 2020
US CAPITAL GLOBAL SECURITIES, LLC
January 11, 2018 - May 24, 2024
HOULIHAN LOKEY ADVISORS, LLC
September 29, 2014 - August 14, 2018
W.R. HAMBRECHT + CO., LLC
April 5, 2010 - October 29, 2010
CHARLES SCHWAB & CO., INC.
August 12, 2003 - October 1, 2008
WELLS FARGO SECURITIES, LLC
March 15, 2001 - July 15, 2003
J.P. MORGAN SECURITIES INC.
March 1, 2001 - May 1, 2001
JPMSI
February 1, 2000 - July 15, 2003
J.P. MORGAN SECURITIES INC.
January 20, 1994 - February 1, 2000
HAMBRECHT & QUIST LLC
March 12, 1986 - December 21, 1987
TD AMERITRADE, INC.
July 17, 1985 - March 11, 1986
FIRST AFFILIATED SECURITIES, INC.
December 28, 1984 - July 22, 1985
NATIONAL SECURITIES CORPORATION
September 26, 1984 - October 29, 1984
MATTHEW R. WHITE INVESTMENT COMPANY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/26/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 8/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
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.
