Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Aaron? Claim Your ProfileAaron Roome has been in the financial services industry since 2003 and is currently registered with Wells Fargo Securities, LLC. Aaron has worked in the industry for many years, working with several major financial firms. Aaron holds several licenses and has passed numerous industry exams. Aaron is currently licensed in 52 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NC
08/05/2010 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
CA
10/02/2008 - 07/12/2010
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
NY
08/15/2007 - 07/10/2008
PIPER JAFFRAY & CO. (NEW YORK NY)
NY
05/25/2006 - 08/28/2006
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
CT
10/29/2004 - 09/09/2005
ING FINANCIAL PARTNERS, INC. (WINDSOR CT)
CO
10/29/2004 - 09/09/2005
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
CA
09/19/2001 - 09/09/2005
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
BOTH
Issued 11/06/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/25/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2010
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/18/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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