Arthur A. Barasch

BARON FINANCIAL ADVISORS

Spring, TX

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CRD#: 2585867

Professional summary

Arthur Abraham Barasch, who also goes by Art A Barasch, is a registered financial advisor currently at BARON FINANCIAL ADVISORS, LLC located in Spring, Texas.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Arthur has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art A Barasch

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.

1) INDEPENDENT INSURANCE AGENT - SELLING LTC, HEALTH, DI FROM VARIOUS COMPANIES; APPROXIMATELY 15 HOURS A WEEK WITH SOME DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Abraham Barasch'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®

None

Experience

Current

March 27, 2023 - Present

BARON FINANCIAL ADVISORS, LLC

RIA

CRD#: 170484

Spring, TX

Past

March 26, 2014 - December 31, 2022

BARON FINANCIAL ADVISORS, LLC

RIA

CRD#: 170484

SPRING, TX

Past

February 6, 2007 - April 9, 2014

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HOUSTON, TX

Past

January 8, 2007 - April 9, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

HOUSTON, TX

Past

September 30, 2004 - December 31, 2005

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

SUGAR LAND, TX

Past

October 31, 2003 - December 31, 2006

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

SUGAR LAND, TX

Past

May 7, 2002 - September 30, 2004

THE ADVISORS GROUP, INC.

RIA

CRD#: 14035

HOUSTON, TX

Past

August 30, 1999 - October 31, 2003

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

February 15, 1995 - August 24, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Texas
(3/27/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/4/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BARON FINANCIAL ADVISORS, LLC

BARASCH, ARTHUR | BARON FINANCIAL ADVISORS, LLC

CRD#: 170484 / SEC#:

Louisiana

Registered Investment Advisory firm - (3/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2023 Approved)

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).

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Contact information

Main Address

Spring, TX

Mailing Address

Phone number

(713) 818-4158

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Arthur A. Barasch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Abraham Barasch's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARON FINANCIAL ADVISORS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

THE ADVISORS GROUP, INC.

THE ADVISORS GROUP, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/1997

Series 63

Date: 2/14/1995

Series 7

Date: 8/4/1997

Series 6

Date: 2/14/1995

Current Firm

BARON FINANCIAL ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

BARON FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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