Chad K. Aitken
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.
Chad Kenneth Aitken, who also goes by Chadwick K Aitken, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1993. Chad had worked at 6 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - December 31, 2017
AITKEN RESEARCH GROUP LLC
November 18, 2010 - December 31, 2016
AITKEN RESEARCH GROUP LLC
January 23, 2008 - November 25, 2008
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 7, 2005 - March 28, 2006
MORGAN STANLEY DW INC.
June 24, 2005 - March 28, 2006
MORGAN STANLEY DW INC.
July 3, 2003 - October 27, 2003
CHARLES SCHWAB & CO., INC.
April 30, 1995 - October 27, 2003
CHARLES SCHWAB & CO., INC.
September 15, 1993 - December 9, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 20, 1993 - June 24, 1993
L.C. WEGARD & CO., 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 8
Date: 9/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AITKEN RESEARCH GROUP LLC
CRD#: 154502 / 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.
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