Aimee E. Marcus
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.
Aimee Elizabeth Marcus, who also goes by Aimee E Vroubel, Aimee Elizabeth Vroubel, was a registered financial professional .
Aimee is a previously registered financial professional and started their career in finance in 1996. Aimee had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2018 - August 3, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 26, 2015 - January 5, 2018
LPL FINANCIAL LLC
January 1, 2005 - April 18, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
June 15, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
July 27, 2000 - May 1, 2001
JPMSI
March 16, 1999 - June 20, 2000
JPMSI
June 11, 1996 - March 21, 1997
NEUBERGER BERMAN MANAGEMENT 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
