Aaron J. Ochstein
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 Jon Ochstein, CFA, who also goes by Aaron J Ochstein, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2002. Aaron had worked at 6 firms and has passed the Series 66, SIE 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
August 15, 2014 - December 31, 2022
CARILLON FUND DISTRIBUTORS, INC.
June 19, 2008 - August 13, 2014
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
June 19, 2008 - August 13, 2014
MESIROW FINANCIAL, INC.
January 23, 2006 - December 6, 2007
EUROPEAN CREDIT MANAGEMENT INC.
February 9, 2004 - January 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 9, 2004 - January 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 20, 2002 - March 19, 2003
BANC OF AMERICA SECURITIES LLC
November 7, 2002 - March 19, 2003
BANC OF AMERICA SECURITIES 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
CARILLON FUND DISTRIBUTORS, INC.
CRD#: 139749 / SEC#: , 8-67244
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EAGLE ASSET MANAGEMENT INC | PARENT COMPANY | 110653 |
| EDWARDS, CHARLES MICHAEL | DIRECTOR | 5342028 |
| GEORGIEV, TSVETELINA ELKOVA | CCO | 5130225 |
| GERVAIS, BRYAN L | CFO, PRINCIPAL FINANCIAL OFFICER / FINOP, DIRECTOR | 5286391 |
| LILLIAN, JORDAN ALEXANDER | CEO, PRESIDENT, DIRECTOR | 5444726 |
| SOUSA, DAMIAN DANIEL | DIRECTOR | 2061882 |
| WALZER, SUSAN LAVELLE | DIRECTOR | 2976646 |
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.
