Neill S. Aarons
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.
Neill Scott Aarons, who also goes by Neill Scotrt Aarons, Scott Aaronsneill, was a registered financial professional .
Neill is a previously registered financial professional and started their career in finance in 1996. Neill had worked at 4 firms and has passed the Series 65, Series 63, Series 55 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
March 2, 2011 - December 31, 2015
EMPIRE WEALTH ADVISORS
October 2, 2000 - July 9, 2001
TAFFERER TRADING, LLC
September 9, 1997 - March 27, 2000
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
November 5, 1996 - December 19, 1996
QUEST CAPITAL STRATEGIES, 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 55
Date: 5/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
EMPIRE WEALTH ADVISORS
CRD#: 155769 / SEC#:
Contact information
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.
