Aaron J. Brandwein
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 Jacob Brandwein was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1970. Aaron had worked at 8 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2012 - June 18, 2014
DU PASQUIER & CO., INC.
October 23, 2002 - September 24, 2012
MAXIM GROUP LLC
January 31, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
February 26, 1988 - January 31, 2001
HERZOG, HEINE, GEDULD, LLC
May 5, 1978 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 1, 1976 - May 20, 1978
KUHNS BROTHERS & LAIDLAW, INC.
April 10, 1973 - January 13, 1977
HEINE, FISHBEIN & CO INC
July 22, 1970 - April 10, 1973
HEINE & CO
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
PC
Date: 5/8/1978
AMEX Put and Call ExamSeries 1
Date: 4/2/1965
Registered Representative ExaminationCurrent Firm
DU PASQUIER & CO., INC.
CRD#: 24750 / SEC#: 801-61795, 8-41367
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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