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Aaron R. Larson

Some features on this profile are disabled
CRD#: 6394351
AL

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 Russell Larson, who also goes by A. Larson, Aaron R. Larson, Aaron Russell Larson, Aaron Larson, was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2016. Aaron had worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

A. Larson | Aaron R. Larson | Aaron Russell Larson | Aaron Larson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
[1] GLOBAL VIEW CAPITAL MANAGEMENT, LLC, AN AFFILIATE OF GLOBAL VIEW CAPITAL ADVISORS, LLC; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; NATURE: RIA FIRM; STARTED: 09-05-2018; POSITION: COMPLIANCE OFFICER 01.01.2021 - PRESENT, COMPLIANCE ANALYST FROM 09.05.2018 TO 12.31.2020 AND INVESTMENT ADVISER REPRESENTATIVE (IAR) 01.22.2019 TO PRESENT; APPROX. 150-160 HRS/MONTH AS A COMPLIANCE OFFICER AND APPROX. 30 HRS/MONTH AS AN IAR; APPROX. 150-160 HRS/MONTH AS A COMPLIANCE OFFICER DURING TRADING HOURS AND APPROX. 20 HRS/MONTH AS AN IAR DURING TRADING HOURS; RESPONSIBILITIES: AS A COMPLIANCE OFFICER, MONITOR, REVIEW AND APPROVE MARKETING REQUESTS SUBMITTED BY IARs, MAINTAIN THE RIA FIRM COMPLIANCE PROGRAM AS WELL AS THE BOOKS AND RECORDS, SUPPORT THE CCO, EDUCATE AND SUPERVISE THE REGISTERED IARs TO ENSURE THEY ARE COMPLIANT WITH SEC REGULATIONS AND THE FIRM POLICIES AND PROCEDURES. AS AN IAR, EDUCATE AND SELL ADVISORY PRODUCTS, SERVICE CLIENTS UTILIZING VARIOUS INVESTMENT STRATEGIES AND THIRD PARTY MONEY MANAGERS. [2] GLOBAL VIEW CAPITAL ADVISORS, LLC, AN AFFILIATE OF GLOBAL VIEW CAPITAL MANAGEMENT, LLC; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; NATURE: MARKETING FIRM FOR INSURANCE AND ADVISORY SERVICES; POSITION: INDEPENDENT CONTRACTOR; AFFILIATION DATE: 01-22-2019; APPROX. 30 ADVISORY HRS/MONTH; APPROX. 20 ADVISORY HRS/MONTH DURING TRADING HOURS; RESPONSIBILITIES: MARKETING, EDUCATION AND SALES OF GVCM ADVISORY SERVICES AND GVCI INSURANCE SERVICES. GVCI HOURS LISTED SEPARATELY, IF APPLICABLE. [3] GLOBAL VIEW CAPITAL INSURANCE SERVICES, LLC, AN AFFILIATE OF GLOBAL VIEW CAPITAL ADVISORS, LLC; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; INSURANCE; POSITION: INSURANCE AGENT; STARTED: 01-08-2019; APPROX. 12 HS/MONTH; APPROX. 2 HRS/MONTH DURING TRADING HOURS; RESPONSIBILITIES: MARKETING, EDUCATION AND SALES OF FIXED INSURANCE PRODUCTS FOR MULTIPLE PROVIDER COMPANIES TO PROSPECTIVE CLIENTS AND EXISTING CLIENTS WITH FOCUS ON SALE OF LIFE, LONG TERM CARE AND DISABILITY INSURANCE PRODUCTS. [4] DOUBLETREE BY HILTON HOTEL; NOT INVESTMENT RELATED; ADDRESS: 18155 W. BLUEMOUND ROAD, BROOKFIELD, WI 53045; NATURE: HOTEL & RESTURANT/BAR SERVICES; POSITION: BARTENDER; STARTED: 02.21.2023-PRESENT; APPROX. 25 HRS/MO OUTSIDE TRADING HOURS; APPROX. ZERO HRS/MO DURING TRADING HOURS; RESPONSIBILITIES: PART-TIME BARTENDER AS NEEDED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 2020 - June 30, 2020

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
WAUKESHA, WI
Past

September 14, 2018 - April 4, 2024

GLOBAL VIEW CAPITAL MANAGEMENT LLC

RIA
CRD#: 158292
WAUKESHA, WI
Past

May 10, 2017 - February 16, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MILWAUKEE, WI
Past

May 10, 2017 - February 16, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

October 24, 2016 - April 21, 2017

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
MILWAUKEE, WI
Past

October 24, 2016 - April 21, 2017

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

May 3, 2016 - November 8, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
BROOKFIELD, WI
Past

May 3, 2016 - November 8, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
BROOKFIELD, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/24/2017
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/11/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/18/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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