Andrew M. Aran

REGENCY WEALTH MANAGEMENT

Ramsey, NJ 07446

Some features on this profile are disabled

CRD#: 2025715

Professional summary

Andrew Michael Aran, who also goes by Andrew M Aran, is a registered financial advisor currently at REGENCY WEALTH MANAGEMENT located in Ramsey, New Jersey.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Andrew has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew M Aran

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 Andrew Michael Aran'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

December 15, 2010 - Present

REGENCY WEALTH MANAGEMENT

Office #1: 500 North Franklin Turnpike Suite 212, Ramsey, NJ 07446

RIA

CRD#: 131208

Ramsey, NJ

Past

January 27, 2009 - December 22, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

MIDLAND PARK, NJ

Past

January 2, 2009 - December 22, 2010

LPL FINANCIAL LLC

CRD#: 6413

MIDLAND PARK, NJ

Past

April 11, 1991 - January 13, 2009

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

September 21, 1990 - April 2, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 26, 1990 - September 18, 1990

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

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".

REGENCY WEALTH MANAGEMENT

HUDSON CAPITAL MANAGEMENT LLC | REGENCY WEALTH MANAGEMENT

CRD#: 131208 / SEC#: 801-72134

RIA

Registered Investment Advisory firm - (1/21/2011 Approved)

New Jersey

Registered Investment Advisory firm - (2/9/2011 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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/6/2025)

IAR

New Jersey
(12/15/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 11/2/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1990

General Securities Representative Examination

Current Firm

REGENCY WEALTH MANAGEMENT

HUDSON CAPITAL MANAGEMENT LLC | REGENCY WEALTH MANAGEMENT

CRD#: 131208 / SEC#: 801-72134

RIA

Registered Investment Advisory firm - (1/21/2011 Approved)

New Jersey

Registered Investment Advisory firm - (2/9/2011 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

500 North Franklin Turnpike Suite 212, Ramsey, NJ 07446

Mailing Address

Phone number

(201) 447-5850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE REGENCY WEALTH MANAGEMENT 2025-03-26 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,069
AUM (Assets Under Management)	$ 538,263,465

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew M. Aran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Aran's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGENCY WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

CITICORP SECURITIES, INC.

Primary Firm SEC Registration

REGENCY WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1990

Series 7

Date: 9/19/1990

Current Firm

REGENCY WEALTH MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGENCY WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors