Aaron J. Stgermain
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 Jeffrey Stgermain, CFP®, who also goes by Aaron Jeffrey St. Germain, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2000. Aaron had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, 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
July 13, 2017 - December 14, 2018
GUTTRIDGE CAPITAL MANAGEMENT LLC
April 7, 2015 - April 27, 2020
CLOCKWISE CAPITAL LLC
October 5, 2010 - January 9, 2015
TD AMERITRADE, INC.
October 4, 2010 - January 9, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 16, 2010 - January 9, 2015
TD AMERITRADE, INC.
January 4, 2006 - September 10, 2010
CHARLES SCHWAB & CO., INC.
January 23, 2002 - December 31, 2005
CHARLES SCHWAB & CO., INC.
January 23, 2002 - September 10, 2010
CHARLES SCHWAB & CO., INC.
January 20, 2000 - January 8, 2002
IDS LIFE INSURANCE COMPANY
January 20, 2000 - January 8, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
GUTTRIDGE CAPITAL MANAGEMENT LLC
CRD#: 168168 / SEC#: 801-78262
Contact information
Red Flags
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