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Aaron Schroeder

Firm:
Purshe Kaplan Sterling Investments
Additional Firm:
Farmingbury Financial Services, LLC
Managing Member
Type: Dual Registration
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Description

Aaron Schroeder an executive and is sole owner of Farmingbury Financial Services, LLC, based in Wolcott, CT. Aaron is also registered with Purshe Kaplan Sterling Investments. Aaron has held an industry securities registration for 30 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Aaron Schroeder has not answered any questions on Financial Q&A.

Top Guides

Aaron Schroeder has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
Purshe Kaplan Sterling Investments 8 years, 11 months Jun 2004 - Present
Farmingbury Financial Services, LLC 22 years, 11 months Jun 1990 - Present
Main Street Management Company 14 years, 7 months Oct 1989 - May 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/18/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
11/18/2011
10/04/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 07/20/1992
Investment Company Products/Variable Contracts Representative Examination Series 6 11/17/1982

Firm Compensation Arrangements

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No compensation arrangements listed.