GA
Gerald H. Ariyan
ASHTON THOMAS SECURITIES
New York, NY 10022
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CRD#: 2326282
GA
Professional summary
Gerald Haig Ariyan, who also goes by Haig Ariyan, is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in New York, New York.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Gerald has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Haig Ariyan
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.
Investment-Related Activities 1.Dadourian Foundation (New York, NY - Charitable Foundation) oRole: Review portfolio recommendations made by Stifel Nicolaus advisor oTime Commitment: 1 hour every 2 months oCompensation: None 2.Mass Mutual Trust Co. (Boston, MA - Investment-Related) oRole: Independent Director, Chairman of Investment Committee oTime Commitment: 2 hours per month oCompensation: Yes 3.Arax Investment Partners (New York, NY - Investment-Related) oRole: Chief Executive Officer - Oversee operations, strategic direction, and leadership oTime Commitment: 160 hours per month oCompensation: Yes oAffiliated Entities (Combined Role with Arax Investment Partners): ?Ashton Thomas Private Wealth, LLC (Scottsdale, AZ - Investment-Related) - Chairman (40 hours/month) ?U.S. Capital Wealth Advisors (Houston, TX - Investment-Related) - Chairman of Board of Directors (40 hours/month) ?Norte Advisors, LLC (New York, NY - Investment-Related) - Chairman (4 hours/month) Non-Investment-Related Activities 4.Hye Tower LLC (Paramus, NJ - Commercial Property Investment) oRole: Passive Owner (50% Stake) oTime Commitment: Varies, based on sale of investment oCompensation: Depends on sale of investment 5.Hyewood LLC (Westwood, NJ - Commercial Property) oRole: Member oTime Commitment: 0 hours per month oCompensation: None 6.Serendipity Labs (Westport, CT - Real Estate Workspace Sharing) oRole: Passive Investment oTime Commitment: 0 hours per month oCompensation: None Passive Investments (Not Investment-Related, No Active Involvement) ?Pivotal Commware (Bothell, WA - Telecommunications Equipment) ?Netris Software (Santa Clara, CA - AI Software) ?Pathwater (Fremont, CA - Bottled Water) ?Urbanic (London - Clothing Manufacturing) ?Ola Cab (India - Ridesharing Company) ?Ola Electric (India - Electric Vehicle Manufacturer) ?The Inn of Cape May (Cape May, NJ - Bed & Breakfast Property) ?Avelo Airlines (New Haven, CT - Regional Airline) All above passive investments require: ?0 hours per month ?No compensation received
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Haig Ariyan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gerald Haig Ariyan'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
April 23, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 10 E 53rd Street Suite 1400, New York, NY 10022RIA
BD
CRD#: 16629
New York, NY
Current
June 29, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 10 E 53rd Street Suite 1400, New York, NY 10022RIA
BD
CRD#: 16629
New York, NY
Past
June 14, 2021 - September 1, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
New York, NY
Past
September 6, 2016 - September 1, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
New York, NY
Past
February 16, 2007 - July 9, 2007
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
January 13, 2001 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
January 12, 2001 - February 6, 2007
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
February 23, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
March 23, 1993 - March 1, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
IAR
New York(4/23/2024)
RR
New York(6/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
200 Canal View Blvd. Suite 204, Rochester, NY 14623
Mailing Address
200 Canal View Blvd. Ste. 204, Rochester, NY 14623
Phone number
(585) 424-1234
Established
Delaware since 01/08/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
75
SEC notice filing (43 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,599 |
| AUM (Assets Under Management) | $ 1,717,957,312 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
