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Arthur S. Day
DAY HAGAN ASSET MANAGEMENT
SARASOTA, FL 34236
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CRD#: 1298928
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Professional summary
Arthur Stuart Day is a registered financial advisor currently at DAY HAGAN ASSET MANAGEMENT located in Sarasota, Florida and ASHTON THOMAS PRIVATE WEALTH located in Sarasota, Florida.
Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Arthur has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) TEAM TONY CANCER FOUNDATION; Not Investment-Related; CHARITABLE FOUNDATION; BOARD MEMBER; 01/2020; 5 HRS/MO; 0 HRS/MO during trading hours; BOARD MEMBER THAT RAISES FUNDS FOR CHARITY 2) RICHARD A. RIFFEL PHILANTHROPIC TRUST, INC.; Not Investment-Related; PHILANTHROPIC TRUST (501 (C)(3) ORGANIZATION; BOARD MEMBER; 2020-09-23; c/o Kuhns Law Firm 425 Cross St. Suite 312 Punta Gorda, FL 33950; 0 hours/mo; 0 hours/mo during trading hours; ON ADVISORY BOARD RICHARD RIFFEL IS A CLIENT OF DAY HAGAN. DH WILL BE MANAGING THE ASSETS WITH INVESTMENT ACCOUNT FOR THE ENTITY. ART WILL ABSTAIN FROM ANY VOTING BY THE BOARD REGARDING HIRING AND FIRING ADVISOR. COMPENSATION- QUARTERLY FEE. HE RECEVIES A STIPEND FOR SERVING ON THE BOARD. 3) Day Hagan Asset Management; Yes, Investment-Related; 1000 South Tamiami Trail, Sarasota, FL 34236; Asset Manager; Investment Advisor Representative and Managing Member; 04/2006;
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Stuart Day's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2006 - Present
DAY HAGAN ASSET MANAGEMENT
Office #1: 1000 S. Tamiami Trail, Sarasota, FL 34236RIA
CRD#: 139671
SARASOTA, FL
Current
September 30, 2025 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 1000 South Tamiami Trail, Sarasota, FL 34236RIA
CRD#: 153902
Sarasota, FL
Past
April 7, 2006 - January 3, 2007
LEVEL FOUR FINANCIAL, LLC
BD
CRD#: 25700
SARASOTA, FL
Past
September 16, 1993 - May 4, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SARASOTA, FL
Past
September 11, 1993 - May 4, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 31, 1993 - September 16, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
April 24, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 26, 1984 - May 4, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(1/27/2010)
IAR
Florida(6/29/2006)
IAR
Texas(10/10/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 5/1/1986
Interest Rate Options ExaminationGeneral Industry/Product Exam
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
