Aaron D. Rich
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 David Rich was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2007. Aaron had worked at 5 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2016 - August 28, 2020
EDELMAN FINANCIAL ENGINES
September 3, 2015 - November 30, 2016
FINANCIAL ENGINES ADVISOR CENTER, LLC
July 6, 2015 - September 2, 2015
FINANCIAL ENGINES ADVISOR CENTER, LLC
March 23, 2010 - September 4, 2015
THE MUTUAL FUND STORE
July 9, 2009 - September 21, 2009
NATIONAL PLANNING CORPORATION
April 9, 2009 - September 21, 2009
NATIONAL PLANNING CORPORATION
February 19, 2007 - February 3, 2009
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
