Aaron D. Small
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 Small was a registered financial advisor .
Aaron is a previously registered financial advisor and started their career in finance in 1998. Aaron had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 4, Series 27, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2008 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
January 2, 2008 - March 2, 2012
WHITE PACIFIC SECURITIES, INC.
August 14, 2007 - August 30, 2007
FISHER INVESTMENTS
January 1, 2007 - June 27, 2007
NEWEDGE USA, LLC
July 1, 2005 - January 3, 2007
FIMAT PREFERRED LLC
January 5, 2000 - July 1, 2005
PREFERREDTRADE, INC.
October 13, 1998 - December 1, 1999
MORGAN STANLEY DEAN WITTER ONLINE INC.
August 28, 1998 - October 2, 1998
CITICORP INVESTMENT SERVICES
July 6, 1998 - August 18, 1998
ALAMO CAPITAL
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: 5/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
CRD#: 145768 / SEC#:
Contact information
Red Flags
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