Aaron J. Hulbert
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 James Hulbert was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2021. Aaron had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - November 6, 2024
SENECA FINANCIAL ADVISORS LLC
Primary Firm SEC Registration
SENECA FINANCIAL ADVISORS LLC
CRD#: 152824 / SEC#: 801-71051
State Registrations and Notice Filings
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Exams
Current Firm
SENECA FINANCIAL ADVISORS LLC
CRD#: 152824 / SEC#: 801-71051
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,072 |
| AUM (Assets Under Management) | $ 693,608,122 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2024 | ||
| 01/11/2024 | ||
| 09/30/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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