Aaron A. Read
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 Adam Read, who also goes by Aaron Adam Reed, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2009. Aaron had worked at 7 firms and has passed the Series 63, Series 79TO, 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 21, 2023 - June 3, 2025
LINCOLN INTERNATIONAL LLC
June 6, 2013 - January 9, 2019
AURIGA USA, LLC
May 30, 2012 - April 19, 2013
GLEACHER & COMPANY SECURITIES, INC.
May 9, 2011 - December 6, 2011
CANTOR FITZGERALD & CO.
October 14, 2010 - May 11, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
June 9, 2010 - October 14, 2010
COHEN & COMPANY SECURITIES, LLC
May 19, 2009 - June 1, 2010
INTL FCSTONE CREDIT TRADING LLC
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
Series 79TO
Date: 3/20/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LINCOLN INTERNATIONAL LLC
CRD#: 42045 / SEC#: , 8-49671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONARCH FINCO, LLC | SOLE MEMBER | |
| BARR, ROBERT BRUCE | MANAGING DIRECTOR | 720560 |
| BROWN, ROBERT TODD | CHIEF EXECUTIVE OFFICER | 3114282 |
| HAQUE, SARAH ANSARI | CHIEF COMPLIANCE OFFICER & DEPUTY GENERAL COUNSEL | 7419726 |
| LAWSON, LAWRENCE JAMES III | MANAGING DIRECTOR, CHAIRMAN | 1081222 |
| MALCHOW, ERIC DENNIS | PRESIDENT | 2499555 |
| NELSON, JULIE ANNE | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS | 7051181 |
Disclosures
| Regulatory Event | 1 |
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.
