Denise L. Aasen
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.
Denise Lynne Aasen, who also goes by Denise Aasen, Denise Lynne Duenow, Denise Duenow, Denise Lynne Nasen, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1992. Denise had worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2012 - June 2, 2025
STATE FARM VP MANAGEMENT CORP.
April 29, 2008 - September 21, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
December 16, 1998 - April 17, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 31, 1997 - July 24, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 31, 1997 - July 24, 1998
OSAIC FA, INC.
October 21, 1994 - February 27, 1996
CETERA WEALTH SERVICES, LLC
February 15, 1994 - November 10, 1994
BANC ONE SECURITIES CORPORATION
February 3, 1993 - October 14, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 3, 1993 - October 14, 1993
OSAIC FA, INC.
September 3, 1992 - January 21, 1993
AEGON USA SECURITIES INC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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