Aaron S. Books
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 Scott Books was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2007. Aaron had worked at 8 firms and has passed the Series 66, Series 63, 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
March 28, 2022 - June 27, 2022
ELEQUIN SECURITIES LLC
October 11, 2017 - March 30, 2021
BLUEFIN CAPITAL MANAGEMENT, LLC
July 30, 2015 - September 21, 2017
CG CAPITAL MARKETS, LLC
May 16, 2014 - July 30, 2015
CAPITAL GUARDIAN, LLC
November 11, 2013 - May 19, 2014
BENCHMARK SECURITIES LLC
April 4, 2011 - October 17, 2013
COHEN & COMPANY SECURITIES, LLC
June 22, 2010 - April 15, 2011
MORGAN STANLEY
April 30, 2010 - April 15, 2011
MORGAN STANLEY
August 17, 2007 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
ELEQUIN SECURITIES LLC
CRD#: 311650 / SEC#: , 8-70654
Contact information
Documents
Red Flags
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