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AY

Aaron J. Yorke

Some features on this profile are disabled
CRD#: 701412
AY

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 Jones Yorke IV was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 1962. Aaron had worked at 9 firms and has passed the Series 16, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 15, 2003 - March 22, 2005

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

April 1, 1999 - December 6, 2001

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

August 19, 1997 - June 24, 1998

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
NEW YORK, NY
Past

October 20, 1995 - February 26, 1997

COLEMAN & COMPANY SECURITIES, INC.

BD
CRD#: 1486
NEW YORK, NY
Past

April 3, 1995 - October 24, 1995

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

October 22, 1984 - June 6, 1989

STERLING & YORKE SECURITIES CORP.

BD
CRD#: 15488
Past

March 25, 1982 - May 18, 1984

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481
Past

December 23, 1981 - March 15, 1982

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

March 1, 1973 - May 1, 1977

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

May 24, 1962 - June 18, 1972

DONALDSON, LUFKIN & JENRETTE, INC.

BD
CRD#: 1665

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

General Industry/Product Exam
RR
Series 16
Date: 5/29/1996
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 1
Date: 5/24/1962
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/15/1995
General Securities Principal Examination

Current Firm

GS
GILFORD SECURITIES INCORPORATED
GILFORD SECURITIES INCORPORATED

CRD#: 8076 / SEC#: , 8-24230

BD
Terminated by SEC on 12/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/24/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORTHINGTON, RALPH IVCHAIRMAN AND CEO, CHIEF COMPLIANCE OFFICER472943
SACHS, BONNIE JANE EDELMANDIRECTOR, CFO, COO725100

Disclosures

Regulatory Event21
Arbitration29

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

GILFORD SECURITIES INCORPORATED

CRD#: 8076

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