Owen A. Aukema
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.
Owen Arthur Aukema was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1990. Owen had worked at 5 firms and has passed the Series 63, Series 7, Series 6 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
November 12, 2002 - July 1, 2013
QUEST CAPITAL STRATEGIES, INC.
June 20, 1997 - November 19, 2002
SUNAMERICA SECURITIES, INC.
October 12, 1995 - June 25, 1997
NEW ENGLAND SECURITIES
March 8, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 8, 1990 - July 27, 1995
PRUCO SECURITIES, LLC.
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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
