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Aaron Scott Pyle

CRD# 5008289·Registered 2005 - 2013
Previously Registered: Being a previously registered professional could mean that Aaron 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.

Professional Summary

Aaron Scott Pyle was a registered financial advisor. Aaron was a previously registered financial professional and started their career in finance 2005 - 2013. Aaron had worked at 5 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years in the financial services industry

Current & Past Employments

IMS SECURITIES, INC.·CRD# 35567
BD
Houston, TX
December 4, 2012 - July 10, 2013
WESTPARK WEALTH ADVISORS, INC.·CRD# 130914
RIA
Spicewood, TX
November 13, 2012 - July 10, 2013
EDWARD JONES·CRD# 250
RIA
Lakeway, TX
April 12, 2010 - November 11, 2010
EDWARD JONES·CRD# 250
BD
Lakeway, TX
April 12, 2010 - November 11, 2010
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
BD
Victoria, TX
January 12, 2009 - April 19, 2010
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
RIA
Victoria, TX
December 16, 2008 - April 19, 2010
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
RIA
Corpus Christi, TX
January 19, 2006 - January 5, 2007
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
BD
Corpus Christi, TX
December 7, 2005 - January 5, 2007

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Current Firm

IS
IMS SECURITIES, INC.

IMS INSURANCE AGENCY OF TEXAS, INC. | IMS SECURITIES, INC.DBA IMS FINANCIAL ADVISORS, INC | IMS SECURITIES, INC. | IMS INSURANCE AGENCY, INC.

CRD#: 35567 / SEC#: 8-46722
BD
Terminated by SEC on 01/29/2018

Contact Information

Established

Texas since 10/04/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WADSWORTH, JACKIE DIVONOCHIEF EXECUTIVE OFFICER, COMPLIANCE OFFICER2342163
GAMMON, CHRISTOPHER DAVIDCHIEF FINANCIAL OFFICER, VP-OPTIONS2354523
SPEARS, MICHAEL JCHIEF COMPLIANCE OFFICER4501523

Disclosures

Regulatory Event

7

Arbitration

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2006About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Oct 2005About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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