Aaron J. Ploscowe

ADVANCED ASSET MANAGEMENT ADVISORS

Cincinnati, OH

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CRD#: 2663351

Professional summary

Aaron Joshua Ploscowe is a registered financial advisor currently at ADVANCED ASSET MANAGEMENT ADVISORS, INC. located in Cincinnati, Ohio.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Aaron has worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Joshua Ploscowe's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 4, 2020 - Present

ADVANCED ASSET MANAGEMENT ADVISORS, INC.

RIA

CRD#: 119859

Cincinnati, OH

Past

June 21, 2019 - February 3, 2020

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

OMAHA, NE

Past

April 3, 2008 - January 6, 2009

TRIAD ADVISORS LLC

CRD#: 25803

CINCINNATI, OH

Past

October 17, 2007 - December 18, 2007

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

CINCINNATI, OH

Past

June 23, 2004 - April 15, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CINCINNATI, OH

Past

April 30, 2004 - April 15, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 16, 2003 - April 2, 2004

FINANCIAL NORTHEASTERN SECURITIES, INC.

CRD#: 17007

FAIRFIELD, NJ

Past

April 16, 1999 - July 1, 2002

DEUTSCHE IXE, LLC

CRD#: 7172

NEW YORK, NY

Past

November 26, 1996 - April 8, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 4, 1996 - October 21, 1996

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADVANCED ASSET MANAGEMENT ADVISORS, INC.

CRD#: 119859 / SEC#: 801-61760

RIA

Registered Investment Advisory firm - (1/24/2003 Approved)

Maryland

Registered Investment Advisory firm - (1/30/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/30/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(5/4/2020)

IAR

Texas
(5/4/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/22/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/16/2007

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 5/20/1999

Limited Representative-Equity Trader Exam

Current Firm

ADVANCED ASSET MANAGEMENT ADVISORS, INC.

CRD#: 119859 / SEC#: 801-61760

RIA

Registered Investment Advisory firm - (1/24/2003 Approved)

Maryland

Registered Investment Advisory firm - (1/30/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/30/2003 Terminated)

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Contact information

Main Address

4995 Bradenton Ave., Suite 210, Dublin, OH 43017

Mailing Address

Phone number

(614) 717-4451

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAMA ADV PART 2A AS OF 2024 12 31 (4/8/2025)

Regulatory assets under management

Total Number of Accounts	576
AUM (Assets Under Management)	$ 740,003,663

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.

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Firm Stability Insights

Aaron J. Ploscowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Joshua Ploscowe's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORION PORTFOLIO SOLUTIONS, LLC

TRIAD ADVISORS LLC

AMERITAS INVESTMENT COMPANY, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FINANCIAL NORTHEASTERN SECURITIES, INC.

DEUTSCHE IXE, LLC

CITIGROUP GLOBAL MARKETS INC.

COMMONWEALTH ASSOCIATES

Primary Firm SEC Registration

ADVANCED ASSET MANAGEMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2019

Series 66

Date: 6/22/2004

Series 63

Date: 4/9/1996

Series 7

Date: 10/16/2007

Series 55

Date: 5/20/1999

Current Firm

ADVANCED ASSET MANAGEMENT ADVISORS, INC.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVANCED ASSET MANAGEMENT ADVISORS, INC.

TRUST BUT VERIFY

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