Aaron Fletcher
Professional summary
Aaron Fletcher was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Aaron is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Aaron had worked at 7 firms, which includes HUNTINGTON SECURITIES INC., FIRST KENTUCKY SECURITIES CORPORATION, STERNE AGEE & LEACH INC., M. R. BEAL & COMPANY, M. E. ALLISON & CO. INC., HILLTOP SECURITIES INC., GLEACHER & COMPANY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2019 - January 29, 2020
HUNTINGTON SECURITIES, INC.
July 23, 2015 - July 31, 2018
FIRST KENTUCKY SECURITIES CORPORATION
January 24, 2014 - April 30, 2015
STERNE, AGEE & LEACH, INC.
April 9, 2013 - January 3, 2014
M. R. BEAL & COMPANY
July 18, 2012 - March 4, 2013
M. E. ALLISON & CO., INC.
August 30, 2006 - June 19, 2012
HILLTOP SECURITIES INC.
April 25, 2006 - August 28, 2006
GLEACHER & COMPANY SECURITIES, INC.
January 1, 2006 - April 21, 2006
HILLTOP SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
Contact information
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
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