Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sally? Claim Your ProfileSally Aelion is a financial professional with over 30 years of experience in the securities industry. Sally is currently registered with Sutter Securities Inc. in California. Prior to that, Sally held positions at several other firms including Caldwell Sutter Capital, Inc. in Sausalito, CA. Sally is licensed to provide investment advice in California and is a Series 63 and Series 65 licensed individual. Sally holds various other licenses including Series 4, Series 7, Series 14, Series 24, Series 27, Series 55, Series 57TO and Series 99TO. Sally Aelion is experienced in providing investment advice to clients.
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.
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2
CA
11/18/2021 - Present
Sutter Securities Inc. (IRVINE CA)
CA
02/09/2015 - 11/19/2019
SUTTER SECURITIES INCORPORATED (IRVINE CA)
CA
10/24/2018 - 08/14/2019
SUTTER SECURITIES CLEARING, LLC (IRVINE CA)
CA
08/01/2017 - 11/08/2018
CALDWELL SUTTER CAPITAL, INC. (SAUSALITO CA)
TX
07/21/2011 - 02/01/2013
WFG INVESTMENTS, INC. (DALLAS TX)
CA
12/23/1987 - 07/31/2009
EMMETT A LARKIN COMPANY, INC. (SAN FRANCISCO CA)
NA
01/13/1987 - 11/16/1987
E.M.R. ENTERPRISES
NA
05/21/1985 - 07/23/1987
FIRST STATEWIDE SECURITIES, INC.
NA
10/17/1986 - 01/23/1987
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 11/19/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/09/1992
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/12/1987
Series 4 - Registered Options Principal Examination
BC
Issued 11/02/1985
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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