Aaron Elbogen
Professional summary
Aaron Elbogen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Aaron is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Aaron had worked at 3 firms, which includes ICLEARING LLC, HEARTLAND SECURITIES CORP., ICAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 1998 - April 16, 1998
ICLEARING LLC
December 23, 1997 - January 10, 2000
HEARTLAND SECURITIES CORP.
June 24, 1970 - June 3, 1998
ICAPITAL MARKETS LLC
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 1
Date: 6/3/1969
Registered Representative ExaminationSeries 00
Date: 11/6/1972
General Securities Principal ExaminationCurrent Firm
ICLEARING LLC
CRD#: 43200 / SEC#: , 8-50180
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT COMPANY | |
| GERBER, WILLIAM | TREASURER | 1769810 |
| HALVORSON, KURT DAVID | MANAGER | 1764312 |
| LANGNER, CAROLINE FRANCES | COMPLIANCE OFFICER | 3073124 |
| MACDONALD, JOHN RANALD | MANAGER, FINOP | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | SVP, SECRETARY | 2446207 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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