Aaron Adcock is a registered investment advisor, based in Chesterton, IN, with 21 years of industry experience. Aaron is also registered as a broker, so some compensation may come from commissions on products sold.
Location
3100 Village Point, Ste 200, Chesterton, IN, 46304
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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2019Settled
Other Business Activities
Aaron is a member of the Town of Burns Harbor Plan Commission since 2022, reviewing building codes and making recommendations to the town council. This activity requires minimal time.
Employment History
Current Registrations
Capfinancial Securities, LLC.Broker
May 2020 - Present · 6 yrs 5 mos
Captrust
May 2020 - Present · 6 yrs 5 mos
Previous Registrations
Lakeside Wealth Management Group, LLC
February 2012 - June 2020 · 8 yrs 4 mos
First Allied Securities, INC.Broker
February 2012 - May 2020 · 8 yrs 3 mos
Chase Investment Services CORP.
April 2011 - January 2012 · 9 mos
Chase Investment Services CORP.Broker
April 2011 - January 2012 · 9 mos
Charles Schwab & CO., INC.
March 2005 - March 2011 · 6 yrs
Charles Schwab & CO., INC.Broker
March 2005 - March 2011 · 6 yrs
Morgan Stanley
October 2004 - February 2005 · 4 mos
Morgan Stanley Dw INC.Broker
September 2004 - February 2005 · 5 mos
State Registrations11 states
AZCACOFLILINKYMEMINCOH
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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