Aaron C. Augustis
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 Christopher Augustis was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2011. Aaron had worked at 3 firms and has passed the Series 66, 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
June 17, 2014 - November 12, 2014
ASSEMBLY WEALTH
June 13, 2014 - December 12, 2014
PROSPERA FINANCIAL SERVICES, INC.
May 2, 2011 - June 3, 2014
MORGAN STANLEY
April 4, 2011 - June 3, 2014
MORGAN STANLEY
Primary Firm SEC Registration
ASSEMBLY WEALTH
CRD#: 108834 / SEC#: 801-57629
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
ASSEMBLY WEALTH
CRD#: 108834 / SEC#: 801-57629
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 568 |
| AUM (Assets Under Management) | $ 432,943,158 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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