Brian S. Araki
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Sakai Araki, who also goes by Brian Araki, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2017 - June 21, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
December 1, 2017 - June 21, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
June 1, 2009 - November 15, 2017
MORGAN STANLEY
June 1, 2009 - November 15, 2017
MORGAN STANLEY
May 6, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 6, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 2, 2001 - April 18, 2002
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
August 13, 1993 - July 5, 2000
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
