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Felipe Aransaenz

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CRD#: 1326743
FA

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.

Felipe Aransaenz was a registered financial professional .

Felipe is a previously registered financial professional and started their career in finance in 1984. Felipe had worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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 24, 2019 - January 7, 2021

YORK STOCKBROKERS, INC.

BD
CRD#: 102740
NEW YORK, NY
Past

September 5, 2003 - February 20, 2019

YORK STOCKBROKERS, INC.

BD
CRD#: 102740
NEW YORK, NY
Past

April 3, 2002 - April 10, 2003

CAL FP (US), INC.

BD
CRD#: 37412
NEW YORK, NY
Past

March 4, 2002 - April 3, 2002

YORK STOCKBROKERS, INC.

BD
CRD#: 102740
NEW YORK, NY
Past

April 27, 1999 - March 6, 2002

STIRES & CO., INC.

BD
CRD#: 6813
NEW YORK, NY
Past

June 29, 1998 - March 30, 1999

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

February 3, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

July 8, 1994 - January 29, 1998

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 18, 1984 - July 29, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
RR
Series 63
Date: 1/31/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/18/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/12/2002
Registered Options Principal Examination

Current Firm

YS
YORK STOCKBROKERS, INC.
YORK STOCKBROKERS, INC.

CRD#: 102740 / SEC#: , 8-52139

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
477 Madison Avenue Suite 643, New York, NY 10022
Mailing Address
477 Madison Avenue Suite 643, New York, NY 10022
Phone number
(212) 218-8880
Established
Delaware since 06/17/1999
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INTERNATIONAL ASSET ALLOCATION MANAGEMENT, LLCOWNER
BENSADOUN, JEANCCO
BENSADOUN, JEANCEO2012954
GEORGE, KENNETH RONALDFINANCIAL AND OPERATIONS PRINCIPAL / CFO2643369

Disclosures

Regulatory Event1

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

YORK STOCKBROKERS, INC.

CRD#: 102740

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