Amanda Ton

ARAX ADVISORY PARTNERS

Houston, TX 77027

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CRD#: 1532181

Professional summary

Amanda Ton, who also goes by Amanda Nu Ton, Amanda Phuonglan Nu Ton, Amanda Phuonglanna Ton, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.

Amanda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Amanda has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Amanda Nu Ton | Amanda Phuonglan Nu Ton | Amanda Phuonglanna Ton

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amanda Ton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 15, 2026 - Present

ARAX ADVISORY PARTNERS

Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027

RIA

CRD#: 133535

Houston, TX

Current

May 16, 2014 - Present

USCA SECURITIES LLC

Office #1: 6624 Fannin Street Suite 2400, Houston, TX 77030Office #2: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

Houston, TX

Past

June 30, 2021 - July 21, 2026

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

May 23, 2014 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

October 1, 2012 - April 10, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

HOUSTON, TX

Past

October 1, 2012 - April 10, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

March 1, 1999 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

HOUSTON, TX

Past

March 1, 1999 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

HOUSTON, TX

Past

June 26, 1996 - March 1, 1999

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

Past

March 11, 1993 - August 23, 1996

TRADESTAR INVESTMENTS,INC.

CRD#: 14565

HOUSTON, TX

Past

March 13, 1991 - March 2, 1993

G. R. PHELPS & CO., INC.

CRD#: 173

Past

August 6, 1986 - February 15, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(3/30/2016)

Florida
(3/19/2025)

Georgia
(12/15/2016)

Idaho
(6/17/2020)

Louisiana
(4/22/2025)

Texas
(5/23/2014)

IAR

Texas
(7/15/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/5/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Amanda Ton

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amanda Ton's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA RIA LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

J.P. MORGAN SECURITIES OF TEXAS, INC.

TRADESTAR INVESTMENTS,INC.

G. R. PHELPS & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2000

Series 63

Date: 8/7/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/24/1993

Series 6

Date: 8/5/1986

FINRA

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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