Shawn D. Aspden
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 Douglas Aspden was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1997. Shawn had worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2006 - January 25, 2016
GRIFFITHS MCBURNEY CORP.
April 2, 1998 - August 16, 2005
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
April 1, 1997 - January 22, 1998
MARLEAU LEMIRE (U.S.A.), 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
Series 37
Date: 3/10/1997
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
GRIFFITHS MCBURNEY CORP.
CRD#: 40620 / SEC#: , 8-49139
Contact information
Documents
Direct owners and executive officers
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.
