Aaron Finkelstein
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.
Aaron Finkelstein was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1987. Aaron had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2006 - June 9, 2008
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
February 7, 2005 - October 3, 2006
AURA FINANCIAL SERVICES, INC.
March 14, 2001 - August 15, 2005
AMERICA FIRST ASSOCIATES CORP.
February 7, 1999 - July 25, 2000
SANDGRAIN SECURITIES LLC
June 15, 1995 - February 1, 1999
JOSEPHTHAL & CO., INC.
June 5, 1992 - June 28, 1995
CIBC WORLD MARKETS CORP.
May 18, 1990 - June 9, 1992
LEHMAN BROTHERS INC.
May 30, 1989 - May 10, 1990
UBS FINANCIAL SERVICES INC.
November 7, 1988 - May 23, 1989
THOMSON MCKINNON SECURITIES INC.
April 12, 1988 - June 9, 1992
LEHMAN BROTHERS INC.
December 22, 1987 - April 7, 1990
DREXEL BURNHAM LAMBERT 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
Current Firm
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
