Aaron C. Travis
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.
Aaron Christopher Travis was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1994. Aaron had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 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
December 9, 2013 - July 27, 2015
GORDIAN INVESTMENTS, LLC
June 14, 2013 - August 5, 2013
CIRCLEUP
August 29, 2012 - June 14, 2013
W.R. HAMBRECHT + CO., LLC
March 11, 2010 - August 27, 2012
GLOBAL HUNTER SECURITIES, LLC
June 11, 2009 - March 4, 2010
CAZENAVE AND CO., INC.
February 28, 2005 - July 14, 2008
THINKEQUITY LLC
March 25, 2002 - February 24, 2005
WELLS FARGO SECURITIES, LLC
November 13, 2000 - March 11, 2002
THOMAS WEISEL PARTNERS LLC
November 16, 1999 - December 20, 1999
VOLPE BROWN WHELAN & COMPANY, LLC
January 1, 1996 - November 9, 1999
HAMBRECHT & QUIST LLC
July 21, 1994 - December 1, 1995
DEUTSCHE IXE, 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
Series 55
Date: 6/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
GORDIAN INVESTMENTS, LLC
CRD#: 158611 / SEC#: , 8-68911
Contact information
Documents
Red Flags
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