Douglas M. Aronstein
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.
Douglas Mitchell Aronstein was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2014 - May 27, 2025
KEPLER CAPITAL MARKETS, INC.
June 11, 2013 - February 11, 2014
RBC CAPITAL MARKETS, LLC
June 11, 2008 - April 10, 2013
PIPER SANDLER & CO.
November 23, 2005 - June 12, 2008
BANC OF AMERICA SECURITIES LLC
May 16, 2001 - November 8, 2005
DEUTSCHE BANK SECURITIES INC.
September 22, 1994 - April 3, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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