GA
Gustavo A. Aristizabal
WAINWRIGHT INVESTMENT COUNSEL LLC
BOSTON, MA 02108
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CRD#: 2735053
GA
Professional summary
Gustavo Adolfo Aristizabal, who also goes by Gus Aristizabal, is a registered financial advisor currently at WAINWRIGHT INVESTMENT COUNSEL LLC located in Boston, Massachusetts and WFS, LLC located in Boston, Massachusetts.
Gustavo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gustavo has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gus Aristizabal
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.
MR. ARISTIZABAL IS EMPLOYED BY WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR, AND CURRENTLY HOLDS THE POSITION OF PRESIDENT AND CORPORATE SECRETARY. MR. ARISTIZABAL IS A MEMBER OF THE WAINWRIGHT BOARD OF MANAGERS. MR. ARISTIZABAL IS THE CHIEF EXECUTIVE OFFICER AND BRANCH OFFICE MANAGER OF WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. MR. ARISTIZABAL IS THE CHIEF COMPLIANCE OFFICER AND A PRINCIPAL OF WAINWRIGHT CAPITAL PARTNERS, LLC ("WCAP"), A COMMODITY POOL OPERATOR AND MEMBER OF THE NATIONAL FUTURES ASSOCIATION. WCAP IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. WCAP ACTS AS GENERAL PARTNER OF THE WAINWRIGHT RENAISSANCE FUND 1, L.P.
CRS (Client Relationship Summary) - RIA
Click below to view Gustavo Adolfo Aristizabal'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
August 14, 1999 - Present
WAINWRIGHT INVESTMENT COUNSEL LLC
Office #1: One Boston Place 29th Floor, Boston, MA 02108RIA
CRD#: 108711
BOSTON, MA
Current
March 14, 2002 - Present
WFS, LLC
Office #1: One Boston Place, Boston, MA 02108Office #2: One Boston Place, Boston, MA 02108BD
CRD#: 116778
BOSTON, MA
Past
November 20, 2012 - April 18, 2013
ARTIS ADVISORS
RIA
CRD#: 159997
BOSTON, MA
Past
August 30, 2001 - March 19, 2002
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
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".
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)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
California(3/22/2022)
IAR
Kentucky(3/23/2022)
RR
Louisiana(2/11/2004)
RR
Maryland(11/12/2013)
IAR
Massachusetts(8/14/1999)
RR
Massachusetts(4/8/2002)
RR
New Jersey(1/21/2025)
RR
Ohio(11/12/2013)
IAR
Texas(7/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Boston Place 29th Floor, Boston, MA 02108
Mailing Address
Phone number
(617) 531-3100
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 5,548,153,000 |
Red Flags
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Company Information
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711Boston, MA 02108TRUST BUT VERIFY
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