Aaron J. Richardson
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 Joseph Richardson, who also goes by Aaron J Richardson, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2013. Aaron had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - September 23, 2019
WHITEHALL CAPITAL MARKETS LLC
October 7, 2013 - April 21, 2015
KEYBANC CAPITAL MARKETS INC.
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 7TO
Date: 8/24/2019
General Securities Representative ExaminationCurrent Firm
WHITEHALL CAPITAL MARKETS LLC
CRD#: 158885 / SEC#: , 8-68936
Contact information
FINRA licenses (34 States and Territories)
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.
