Aaron L. Schulman
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 L Schulman was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2002. Aaron had worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2021 - April 28, 2023
KENSINGTON CAPITAL CORP.
August 30, 2013 - June 30, 2014
ALTA FINANCIAL, LLC
March 25, 2009 - November 9, 2012
NEXT FINANCIAL GROUP, INC.
March 17, 2009 - November 9, 2012
NEXT FINANCIAL GROUP, INC.
April 13, 2007 - March 27, 2009
VFINANCE ADVISORS, INC.
January 24, 2007 - March 27, 2009
VFINANCE INVESTMENTS, INC
August 22, 2006 - January 26, 2007
BRECEK & YOUNG ADVISORS, INC.
August 21, 2006 - January 26, 2007
BRECEK & YOUNG ADVISORS, INC.
July 24, 2006 - August 31, 2006
21TH CENTURY ADVISORS INC
September 8, 2005 - August 31, 2006
K.W. BROWN INVESTMENTS
April 30, 2003 - March 16, 2004
METROPOLITAN LIFE INSURANCE COMPANY
April 30, 2003 - March 16, 2004
MSI FINANCIAL SERVICES, INC.
April 11, 2002 - May 1, 2003
JANNEY MONTGOMERY SCOTT 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
Series 7TO
Date: 8/7/2020
General Securities Representative ExaminationCurrent Firm
KENSINGTON CAPITAL CORP.
CRD#: 1742 / SEC#: , 8-28301
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILVER, MOSES M | CFO | 2276798 |
| SILVER, MOSES M | CHIEF AML OFFICER | 2276798 |
| SILVER, MOSES M | CHIEF EXECUTIVE OFFICER | 2276798 |
| SIMON, STUART | OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 2802977 |
| SIMON, STUART | OPTIOS PRINCIPAL | 2802977 |
| SILVER, ABRAM JOSEPH | OWNER | 1137930 |
| CIANTRO, PHILIP GERARD | FINOP | 2350685 |
| LEDERMAN, ELISHEVA MICHELLE | OPTIONS PRINCIPAL, EXECUTIVE REPRESENTATIVE | 2596584 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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