John R. 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.
John Ronald Aitken was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24 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 25, 2016 - June 2, 2017
ALPHA CUBED INVESTMENTS, LLC
June 23, 2011 - May 20, 2015
BANCWEST INVESTMENT SERVICES, INC.
June 23, 2011 - May 20, 2015
BANCWEST INVESTMENT SERVICES, INC.
March 8, 2010 - June 21, 2011
U.S. BANCORP ADVISORS, LLC
March 5, 2010 - June 21, 2011
U.S. BANCORP ADVISORS, LLC
June 9, 2009 - January 5, 2010
SECURITIES AMERICA, INC.
February 17, 2009 - December 2, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
February 13, 2009 - December 2, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2008 - February 23, 2009
WAMU INVESTMENTS, INC.
April 24, 2008 - February 23, 2009
WAMU INVESTMENTS, INC.
November 13, 2006 - April 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 13, 2006 - April 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2006 - November 8, 2006
BANCWEST INVESTMENT SERVICES, INC.
November 12, 2003 - July 19, 2004
BANCWEST INVESTMENT SERVICES, INC.
November 12, 2003 - November 8, 2006
BANCWEST INVESTMENT SERVICES, INC.
January 7, 2003 - November 13, 2003
LPL FINANCIAL LLC
January 7, 2003 - November 13, 2003
LPL FINANCIAL LLC
June 13, 2001 - December 20, 2002
BANCWEST INVESTMENT SERVICES, INC.
April 15, 1998 - July 27, 1999
WELLS FARGO SECURITIES INC.
October 9, 1996 - March 12, 1998
WEDBUSH SECURITIES INC.
September 2, 1993 - October 22, 1996
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
ALPHA CUBED INVESTMENTS, LLC
CRD#: 159347 / SEC#: 801-77372
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: 5/2/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALPHA CUBED INVESTMENTS, LLC
CRD#: 159347 / SEC#: 801-77372
Contact information
SEC notice filing (44 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,786 |
| AUM (Assets Under Management) | $ 3,026,637,539 |
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.
