Aria D. Walfrand
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.
Aria Dorothea Walfrand was a registered financial professional .
Aria is a previously registered financial professional and started their career in finance in 2011. Aria had worked at 4 firms and has passed the Series 63, SIE, Series 7 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
January 19, 2017 - November 6, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 16, 2014 - January 10, 2017
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 17, 2013 - June 18, 2014
VOYA FINANCIAL ADVISORS, INC.
November 5, 2011 - April 17, 2013
VOYA FINANCIAL PARTNERS, 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
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil 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.
