Aaron D. Maurer
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 Douglas Maurer, who also goes by Doug Maurer, Douglas A Maurer, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1998. Aaron had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2018 - December 26, 2019
ASCENDANT ALTERNATIVE STRATEGIES, LLC
April 9, 2018 - May 31, 2018
DMK ADVISOR GROUP, INC.
October 31, 2017 - April 30, 2019
INSTITUTE FOR WEALTH CONSULTANTS, INC.
October 10, 2016 - February 23, 2017
SOWELL MANAGEMENT
April 4, 2016 - December 31, 2017
CONCERT WEALTH MANAGEMENT
September 25, 2014 - May 4, 2016
PRIVATE ADVISORY
June 22, 2012 - March 27, 2014
SCA
December 1, 2010 - December 31, 2014
STRATEGIC CAPITAL GROUP L.L.C.
November 18, 2009 - September 27, 2010
STRATEGIC CAPITAL GROUP L.L.C.
January 30, 2009 - April 26, 2016
RP CAPITAL LLC
June 13, 2006 - December 9, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 23, 2006 - December 9, 2008
TD AMERITRADE, INC.
January 23, 2006 - December 9, 2008
TD AMERITRADE, INC.
September 26, 2005 - January 3, 2006
MORGAN STANLEY DW INC.
September 12, 2005 - January 3, 2006
MORGAN STANLEY DW INC.
September 9, 2002 - February 21, 2003
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
March 20, 2002 - July 15, 2002
AUTOMATED TRADING DESK SPECIALISTS, LLC
July 10, 1998 - July 23, 1999
HARRIS INVESTORLINE
April 1, 1998 - April 24, 1998
MADISON SECURITIES, 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 55
Date: 9/16/2002
Limited Representative-Equity Trader ExamCurrent Firm
ASCENDANT ALTERNATIVE STRATEGIES, LLC
CRD#: 283881 / SEC#: , 8-69769
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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