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AS

Aaron T. Shafton

DEALMAKER SECURITIES
Toronto, M5V 2R2
Some features on this profile are disabled
CRD#: 7500198
AS

Professional summary

Aaron Taylor Shafton is a registered financial professional currently at DEALMAKER SECURITIES .

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2022. Aaron has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, SIE 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) - BD

Click below to view Aaron Taylor Shafton's CRS (Customer Relationship Summary).

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

Current

March 16, 2022 - Present

DEALMAKER SECURITIES

Office #1: 141 Bathurst Street, Toronto, M5V 2R2
BD
CRD#: 315324
Toronto,

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
South Dakota
(3/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/11/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/2/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/24/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DEALMAKER SECURITIES
DEALMAKER SECURITIES | DEALMAKER SECURITIES LLC

CRD#: 315324 / SEC#: , 8-70756

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

Main Address
30 East 23rd Street 2nd Floor, New York, NY 10010
Mailing Address
30 East 23rd Street 2nd Floor, New York, NY 10010
Phone number
(855) 852-4561
Established
Delaware since 05/05/2021
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NOVATION SOLUTIONS USA, INC.MEMBER
GOLDSTEIN, MATHEW OLIVERCEO AND TREASURER7411773
LEON, MEIGHAN ELIZABETHCLO7411751
MARTINS, MARIO CHRISTOPHER JR.CCO/AMLCO7497981
SELF, JONATHAN ANDREWMANAGING DIRECTOR, CFO/FINOP4497531

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

DEALMAKER SECURITIES

CRD#: 315324Toronto, M5V 2R2

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