AW
Aidan P. Whitehead
CITIZENS JMP SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 2474257
AW
Professional summary
Aidan Peter Whitehead, who also goes by Aidan Whitehead, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in San Francisco, California.
Aidan is registered as a RR (Registered Representative) and started their career in finance in 1996. Aidan has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Aidan Whitehead
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Aidan Peter Whitehead's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 10, 2006 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 101 California Street Suite 1700, San Francisco, CA 94111BD
CRD#: 22208
SAN FRANCISCO, CA
Past
April 13, 2005 - June 29, 2006
THINKEQUITY LLC
BD
CRD#: 44274
SAN FRANCISCO, CA
Past
May 17, 2004 - April 4, 2005
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
July 11, 2002 - April 27, 2004
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
September 1, 1998 - June 24, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
April 26, 1996 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
BD
CRD#: 7730
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2018)
RR
Alaska(1/2/2018)
RR
Arizona(1/2/2018)
RR
Arkansas(1/2/2018)
RR
California(7/10/2006)
RR
Colorado(1/2/2018)
RR
Connecticut(1/2/2018)
RR
Delaware(1/2/2018)
RR
District of Columbia(1/2/2018)
RR
Florida(2/23/2012)
RR
Georgia(1/2/2018)
RR
Hawaii(1/2/2018)
RR
Idaho(1/2/2018)
RR
Illinois(1/2/2018)
RR
Indiana(1/2/2018)
RR
Iowa(1/2/2018)
RR
Kansas(1/2/2018)
RR
Kentucky(1/2/2018)
RR
Louisiana(1/2/2018)
RR
Maine(1/2/2018)
RR
Maryland(1/2/2018)
RR
Massachusetts(1/2/2008)
RR
Michigan(1/2/2018)
RR
Minnesota(1/2/2018)
RR
Mississippi(1/2/2018)
RR
Missouri(1/2/2018)
RR
Montana(1/2/2018)
RR
Nebraska(1/2/2018)
RR
Nevada(1/2/2018)
RR
New Hampshire(1/2/2018)
RR
New Jersey(1/2/2018)
RR
New Mexico(1/2/2018)
RR
New York(1/13/2014)
RR
North Carolina(1/5/2018)
RR
North Dakota(1/2/2018)
RR
Ohio(1/2/2018)
RR
Oklahoma(1/2/2018)
RR
Oregon(1/13/2014)
RR
Pennsylvania(1/2/2008)
RR
Rhode Island(1/2/2018)
RR
South Carolina(1/2/2018)
RR
South Dakota(1/2/2018)
RR
Tennessee(1/2/2018)
RR
Texas(2/23/2012)
RR
Utah(1/2/2018)
RR
Vermont(1/2/2018)
RR
Virginia(1/2/2018)
RR
Washington(1/2/2018)
RR
West Virginia(1/2/2018)
RR
Wisconsin(1/2/2018)
RR
Wyoming(1/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/10/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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.
