Etan Ayen
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.
Etan Ayen, who also goes by Thane Andrew, Thane Andrew Mansfield, Charles Andrew Tubb, was a registered financial professional .
Etan is a previously registered financial professional and started their career in finance in 2018. Etan had worked at 3 firms and has passed the Series 63, Series 82TO, Series 6TO, Series 22TO, Series 99TO, Series 3, Series 7TO, SIE and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2024 - December 15, 2025
AQUAS FINANCIAL, LLC
January 23, 2023 - August 29, 2023
CHARLES SCHWAB & CO., INC.
November 8, 2018 - August 29, 2023
TD AMERITRADE, 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 82TO
Date: 11/20/2024
Limited Representative-Private Securities OfferingsSeries 6TO
Date: 11/20/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 11/20/2024
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 11/20/2024
Operations Professional ExaminationSeries 7TO
Date: 11/8/2018
General Securities Representative ExaminationCurrent Firm
AQUAS FINANCIAL, LLC
CRD#: 311274 / SEC#: , 8-70610
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAIN STREET TRUST | SHAREHOLDER | |
| WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUST | SHAREHOLDER | |
| ALSEDEK, STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | COO, POO | 2520569 |
| ALSEDEK, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2520569 |
| JANOWSKI, JEFF | HEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL | 5703929 |
| WURTSBAUGH, WAYNE ALAN | CHIEF TECHNOLOGY OFFICER | 2629833 |
| WURTSBAUGH, WAYNE ALAN | TRUSTEE / CHIEF EXECUTIVE OFFICER | 2629833 |
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.
