Ari R. Dardik

Atlanta, GA 30326

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CRD#: 2477594

Professional summary

Ari Richard Dardik, CIMA® is a registered financial advisor currently at REGISTER FINANCIAL ADVISORS, LLC located in Atlanta, Georgia and REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.

Ari is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ari has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ari Richard Dardik'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 15, 2023 - Present

REGISTER FINANCIAL ADVISORS, LLC

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326

RIA

CRD#: 143884

Atlanta, GA

Current

September 15, 2023 - Present

REGISTER FINANCIAL ASSOCIATES, INC.

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326

CRD#: 30568

Atlanta, GA

Past

September 3, 2010 - September 13, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Atlanta, GA

Past

August 27, 2010 - September 13, 2023

MORGAN STANLEY

CRD#: 149777

Atlanta, GA

Past

July 1, 2003 - August 30, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

July 1, 2003 - August 30, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

November 26, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

ATLANTA, GA

Past

July 19, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 29, 1998 - August 13, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, 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".

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 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

Georgia
(9/15/2023)

IAR

Georgia
(10/10/2023)

Pennsylvania
(10/10/2023)

IAR

Texas
(9/15/2023)

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: 6/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/6/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/21/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

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Contact information

Main Address

3500 Lenox Road Suite 1700, Atlanta, GA 30326

Mailing Address

Phone number

(404) 364-2180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (2/13/2025)

PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	835
AUM (Assets Under Management)	$ 396,907,109

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

Ari R. Dardik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ari Richard Dardik's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGISTER FINANCIAL ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

REGISTER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/1998

Series 63

Date: 5/29/1998

SIE

Date: 10/1/2018

Series 31

Date: 5/6/2002

Series 7

Date: 5/21/1998

FINRA

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGISTER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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