Aaron R. Sokol
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 Robert Sokol was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1995. Aaron had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
January 5, 2016 - September 5, 2018
DAKOY CAPITAL MARKETS LLC
July 26, 2012 - October 23, 2014
SETON SECURITIES GROUP, INC.
July 20, 2010 - July 23, 2012
VCS VENTURE SECURITIES
August 16, 2007 - July 31, 2008
MCM SECURITIES LLC
October 9, 2003 - April 4, 2007
PALI CAPITAL, INC.
December 26, 2001 - October 9, 2003
J.P. MORGAN SECURITIES LLC
December 3, 2001 - October 9, 2003
J.P. MORGAN SECURITIES LLC
March 26, 2001 - November 12, 2001
DEUTSCHE BANK SECURITIES INC.
January 1, 1997 - December 16, 1999
DEAM INVESTOR SERVICES, INC.
December 8, 1995 - October 15, 1996
BANC ONE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DAKOY CAPITAL MARKETS LLC
CRD#: 169954 / SEC#: , 8-69401
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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