Steven R. Aron
Professional summary
Steven Robert Aron was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Steven had worked at 3 firms, which includes FINANCIAL WEST GROUP, HILLTOP SECURITIES INC., M.L. STERN & CO. LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2011 - June 30, 2011
FINANCIAL WEST GROUP
December 10, 2008 - May 13, 2010
HILLTOP SECURITIES INC.
October 6, 2003 - December 31, 2008
M.L. STERN & CO., LLC.
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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