Shawn E. Aaron
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.
Shawn Evan Aaron was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1995. Shawn had worked at 7 firms and has passed the Series 63 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
February 25, 2000 - July 18, 2005
GUNNALLEN FINANCIAL, INC
July 6, 1999 - November 3, 1999
SUNSTATE EQUITY TRADING
July 9, 1997 - May 22, 1998
ABBEY-ASHFORD SECURITIES, INC.
January 10, 1997 - July 21, 1997
BRAUER & ASSOCIATES, INC.
January 11, 1996 - April 28, 1997
NATIONWIDE SECURITIES CORPORATION
June 19, 1995 - July 17, 1996
VISION INVESTMENT GROUP, INC.
March 9, 1995 - October 23, 1995
THE WELLINGTON GROUP, INC.
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
