Aaron Hammer: Lone Peak Advisor Fired by Valmark Securities

St. Cloud, Minnesota financial advisor Aaron Hammer (CRD# 4803779) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Valmark Securities representative is currently registered as a broker with Transitional Broker and an investment advisor with Lone Peak Advisers.

Mr. Hammer’s BrokerCheck report discloses his termination from Valmark Securities. Filed in August 2025, it alleges that he violated firm supervisory procedures when he “failed to forward to the firm a written customer complaint he received and settled the customer complaint before the firm became aware of its existence.”

Under FINRA Rule 4530, for reference, member firms are required to report disclose information regarding written customer complaints. FINRA Rule 2150, meanwhile, prohibits brokers from guaranteeing customers against loss. This prohibition specifies that payments which “can reasonably be construed as a settlement” must be reported under applicable reporting requirements. Brokers are generally prohibited from settling investor complaints away from their member firms, as such settlements typically run afoul of reporting requirements under FINRA rules. Brokers who fail to abide by these rules may be subject to disciplinary actions by their firms and/or securities regulators.

According to the Financial Industry Regulatory Authority, Aaron Hammer holds 21 years of securities industry experience. Based in St. Cloud, Minnesota, he has been registered as a broker with Transitional Broker and an investment advisor with Lone Peak Advisers since September 2025. His past registrations include Valmark Advisers, Valmark Securities, and the ON Equity sales Company. His credentials include the passage of five securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO; and the General Securities Representative Examination, or Series 7. He is licensed in Arizona, Colorado, Florida, Minnesota, Ohio, Pennsylvania, and Texas. (Information current as of September 15, 2025.)

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