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AW

Aaron L. Wimberley

MSC - BD
LAKE OSWEGO, OR 97035
Some features on this profile are disabled
CRD#: 4336074
AW

Professional summary

Aaron Lloyd Wimberley, who also goes by Tate Lloyd Wimberley, is a registered financial professional currently at MSC - BD, LLC located in Lake Oswego, Oregon.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2019. Aaron has worked at 2 firms and has passed the Series 65, SIE and Series 79TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tate Lloyd Wimberley

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) - BD

Click below to view Aaron Lloyd Wimberley's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 10, 2019 - Present

MSC - BD, LLC

Office #1: 5 Centerpointe Drive Suite. 400, Lake Oswego, OR 97035
BD
CRD#: 142927
LAKE OSWEGO, OR
Past

May 16, 2019 - October 11, 2019

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/11/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/28/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/10/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/9/2019
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M-
MSC - BD, LLC
MCINTYRE INVESTMENTS, INC. | NAPLES AIS, INC. | MSC - BD, LLC

CRD#: 142927 / SEC#: , 8-67511

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

Main Address
5 Centerpointe Drive Suite. 400, Lake Oswego, OR 97035
Mailing Address
5 Centerpointe Drive Suite 400, Lake Oswego, OR 97035
Phone number
(503) 515-1313
Established
Florida since 07/10/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 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#
MADISON STREET CAPITAL, LLCOWNER
BOTCHWAY, CHARLES OKAIPRESIDENT5752036
DIAMOS, ANTHONY SOLONFINOP/CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4872899
MCINTYRE, PAUL JOSEPHCCO1002368

Disclosures

Regulatory Event1
Arbitration1

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

MSC - BD, LLC

CRD#: 142927Lake Oswego, OR 97035

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