Carl J. Aker
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.
Carl J Aker JR was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1975. Carl had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2008 - December 27, 2016
TRUSTMONT ADVISORY GROUP, INC.
April 14, 2008 - December 27, 2016
TRUSTMONT FINANCIAL GROUP, INC.
August 23, 2002 - April 17, 2008
EQUITABLE ADVISORS, LLC
October 20, 1980 - April 17, 2008
EQUITABLE ADVISORS, LLC
May 6, 1975 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
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: 4/28/1975
Registered Representative ExaminationCurrent Firm
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,387 |
| AUM (Assets Under Management) | $ 1,126,006,619 |
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.
