Aaron Dykas: Oppenheimer Advisor Fired by RBC

Seattle, Washington financial advisor Aaron Dykas (CRD# 2281381) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former RBC Capital Markets representative is currently registered as a broker with Oppenheimer.

Mr. Dykas’s BrokerCheck report discloses his termination by RBC. Filed in July 2026, the disclosure states that the firm fired him amid allegations that he violated “the Order Execution and Standard of Care Policies and the RBC Code of Conduct.” The disclosure does not provide any additional context surrounding the underlying alleged conduct.

A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2022, the complaint alleged that as a representative of Merrill Lynch, he misrepresented material facts relating to a mutual fund investment. The complaint alleged unspecified damages and was denied by the firm. In a statement included with the disclosure, Mr. Dykas defended himself against the allegations, writing: “The Registered Representative denies the allegations and considers it to be without merit. The Registered Representative intends to seek expungement of this matter from his CRD record.”

Investors should be aware that FINRA rules prohibit brokers from providing misleading information regarding the products they recommend, an act commonly referred to as “misrepresentation.” FINRA Rule 2020 specifically stipulates that brokers may not “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who make misrepresentations regarding their investment recommendations may cause their clients to purchase unsuitable products, in violation of FINRA Rule 2111. Representatives who misrepresent and/or recommend unsuitable investments may be held liable for damages in the event of losses.

According to the Financial Industry Regulatory Authority, Aaron Dykas holds 33 years of securities industry experience. Based in Seattle, Washington, he has been registered as a broker with Oppenheimer since 2026. His past registrations include RBC Capital Markets, Merrill Lynch, Wells Fargo Clearing Services, Morgan Stanley Smith Barney, Citigroup Global Markets, McDonald Investments, First Security Van Kasper, First Security Investor Services, Chubb Securities, American Express Financial, and IDS Life Insurance. His credentials include the passage of eight securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Securities Industry Essentials Examination, or SIE; the Operations Professional Examination, or Series 99TO; the Futures Managed Funds Examination, or Series 31; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds one state license. (Information current as of September 19, 2026.)

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