Lead Manager - Supervision And Controls (Central Mountain Territory)
Current
Sep 2018 - Present
AeroLeads people directory · profile
Aaron Pyle Email & Phone Number
Lead Manager - Supervision and Controls (Central Mountain Territory)
at
Equitable Advisors
1 work email found
@equitable.com
LinkedIn matched
✓ Verified Jun 2026
4 data sources
Profile completeness 100%
Current company
Role
Lead Manager - Supervision and Controls (Central Mountain Territory)
Location
St Louis, Missouri, United States
Who is Aaron Pyle? Overview
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Quick answer
Aaron Pyle is listed as Lead Manager - Supervision and Controls (Central Mountain Territory) at Equitable Advisors, based in St Louis, Missouri, United States. AeroLeads shows a work email signal at equitable.com and a matched LinkedIn profile for Aaron Pyle.
Aaron Pyle previously worked as Senior Manager - Branch Supervision/Controls at Axa Advisors and Senior Compliance Officer at Scottrade. Aaron Pyle holds Bachelor Of Applied Science (B.A.Sc.), Finance from Missouri State University.
Company email context
Email format at Equitable Advisors
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{first}.{last}@equitable.com
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Profile bio
About Aaron Pyle
Aaron Pyle is a Lead Manager - Supervision and Controls (Central Mountain Territory) at Equitable Advisors. He possess expertise in investment advisory, brokerage, regulatory affairs, securities regulation, regulatory analysis and 31 more skills.
Listed skills include Investment Advisory, Brokerage, Regulatory Affairs, Securities Regulation, and 32 others.
Current workplace
Aaron Pyle's current company
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7 roles · 15 years
Aaron Pyle work experience
A career timeline built from the work history available for this profile.
Senior Manager - Branch Supervision/Controls
Coordinate and administer Principal related duties in concert with the Regional Chief Controls Officer and/or Regional Counsel as stipulated in the AXA Compliance Manual.Aggressively identify, research, address red flags and/or supervisory concerns. Consult Regional Chief Controls Office and/or Regional Counsel regarding compliance related matters..
Mar 2012 - Aug 2018
Senior Compliance Officer
Provided compliance and regulatory support to firm's business partners (i.e., Advisor Services/TAMS, Margin/Options Desk, Equity Trading and Cashiering).Partnered with business units to complete process inventory exercises, map critical functions, perform risk assessments, identify gaps and implement solutions.Provided support/guidance to business areas.
2011 - 2012
~1 yr
Compliance Officer Ii - Research, Capital Markets, Trading & Operations
Supported and monitored the establishment, implementation, application, and enforcement of the firm's written policies and supervisory procedures for the Capital Markets, Trading, Investment Advisory and Operations areas.Performed periodic oversight and annual reviews of critical business functions and corresponding controls/supervisory procedures.
Sep 2007 - Jul 2011
Compliance Officer Ii - Compliance Services
Principal review of firm correspondence, sales literature and advertising.Provided broad array of regulatory/compliance support to financial advisors via telephone and internal messaging system.As a Legal Subject Matter Expert (LSME), performed reviews of legal documents (i.e., Court Orders, Trusts, POA's) and statutory language to determine validity and.
Dec 2005 - Sep 2007
Fixed Income Trader
Traded OTC, listed, high yield, and short term paper.Assisted with product inventory management and pricing (i.e., intra-day mark to market).Provided advanced product support to financial advisors and other business areas of the firm.Supported trading for the Managed Account Program and Trust Departments.Trained new associates and worked with interns.
Aug 2002 - Dec 2005
Margin Specialist
Provided margin support and guidance to the field.Served in various risk management capacities - monitored/reported free-riding and pattern day trading (PDT) violations; issued/collected Maintenance and Initial Reg T calls - placed sellouts when needed.Trained new margin associates.
Sep 1999 - Aug 2002
2 education records
Aaron Pyle education
Bachelor Of Applied Science (B.A.Sc.), Finance
Missouri State University
Education record
James Madison High School, San Antonio Tx.
FAQ
Frequently asked questions about Aaron Pyle
Quick answers generated from the profile data available on this page.
What company does Aaron Pyle work for?
Aaron Pyle works for Equitable Advisors.
What is Aaron Pyle's role at Equitable Advisors?
Aaron Pyle is listed as Lead Manager - Supervision and Controls (Central Mountain Territory) at Equitable Advisors.
What is Aaron Pyle's email address?
AeroLeads has found 1 work email signal at @equitable.com for Aaron Pyle at Equitable Advisors.
Where is Aaron Pyle based?
Aaron Pyle is based in St Louis, Missouri, United States while working with Equitable Advisors.
What companies has Aaron Pyle worked for?
Aaron Pyle has worked for Equitable Advisors, Axa Advisors, Scottrade, and Edward Jones Investments.
How can I contact Aaron Pyle?
You can use AeroLeads to view verified contact signals for Aaron Pyle at Equitable Advisors, including work email, phone, and LinkedIn data when available.
What schools did Aaron Pyle attend?
Aaron Pyle holds Bachelor Of Applied Science (B.A.Sc.), Finance from Missouri State University.
What skills is Aaron Pyle known for?
Aaron Pyle is listed with skills including Investment Advisory, Brokerage, Regulatory Affairs, Securities Regulation, Regulatory Analysis, Regulatory Requirements, Regulatory Reporting, and Technical Writing.
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