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Aaron Tsai

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CRD#: 3149558
AT

Professional summary

Aaron Tsai was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Aaron is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Aaron had worked at 4 firms, which includes ASHTON STEWART & CO. INC., EVENTURELINK SECURITIES INC., FRANKLIN ROSS INC., BAXTER BANKS & SMITH LTD..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 2, 2001 - February 6, 2003

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

December 12, 2000 - October 5, 2001

EVENTURELINK SECURITIES INC.

BD
CRD#: 36755
LOS ANGELES, CA
Past

July 25, 2000 - December 1, 2000

FRANKLIN ROSS, INC.

BD
CRD#: 43610
PRINCETON, NJ
Past

December 7, 1998 - September 13, 1999

BAXTER BANKS & SMITH, LTD.

BD
CRD#: 40771
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/29/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/2/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/10/1999
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/1999
General Securities Principal Examination

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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.

Company Information

ASHTON STEWART & CO., INC.

CRD#: 112386

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