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AB

Aaron M. Buck

Some features on this profile are disabled
CRD#: 6614116
AB

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 Maxwell Buck, who also goes by Aaron Buck, was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2016. Aaron had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aaron Buck

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.
The advisor shows no other business activity.

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

July 10, 2023 - December 23, 2025

BAINBRIDGE CAPITAL SECURITIES, INC.

BD
CRD#: 304472
SAN DIEGO, CA
Past

February 3, 2021 - July 26, 2021

FIRST SOVEREIGN SECURITIES

BD
CRD#: 39147
NORTHBROOK, IL
Past

May 1, 2018 - February 19, 2020

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
BOCA RATON, FL
Past

August 12, 2016 - February 19, 2020

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
BOCA RATON, FL

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: 4/27/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2016
General Securities Representative Examination

Current Firm

BC
BAINBRIDGE CAPITAL SECURITIES, INC.
BAINBRIDGE CAPITAL SECURITIES, INC. | MENKE CAPITAL CORPORATION

CRD#: 304472 / SEC#: , 8-70357

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

Main Address
4445 Eastgate Mall Suite 200, San Diego, CA 92121
Mailing Address
4445 Eastgate Mall Suite 200, San Diego, CA 92121
Phone number
(917) 923-9649
Established
California since 04/02/2018
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BAINBRIDGE SECURITIES HOLDINGS, INCOWNER
ABDALA, TARIK FERREIRA DE AGUIAR MRCEO7149692
SPEZIALE, RICHARD SALVATORECCO & FINOP1192739

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

BAINBRIDGE CAPITAL SECURITIES, INC.

CRD#: 304472

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