Simon A. Arrata

TRAYNOR CAPITAL MANAGEMENT

Brookville, NY

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CRD#: 3070492

Professional summary

Simon Antoine Arrata, who also goes by Simon A Arrata, is a registered financial advisor currently at TRAYNOR CAPITAL MANAGEMENT located in Brookville, New York.

Simon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Simon has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Simon A Arrata

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Antoine Arrata'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®

None

Experience

Current

August 26, 2025 - Present

TRAYNOR CAPITAL MANAGEMENT

RIA

CRD#: 138881

Brookville, NY

Past

December 10, 2020 - October 15, 2021

HARVEST USA

CRD#: 165614

NEW YORK, NY

Past

December 16, 2019 - October 23, 2025

SOWELL MANAGEMENT

RIA

CRD#: 127145

Brookville, NY

Past

April 29, 2019 - December 26, 2019

TARGETED FINANCIAL SERVICES, LLC

RIA

CRD#: 129049

Holmdel, NJ

Past

March 18, 2019 - December 13, 2019

TRIAD ADVISORS LLC

CRD#: 25803

HOLMDEL, NJ

Past

June 4, 2013 - August 10, 2017

HARVEST USA

CRD#: 165614

NEW YORK, NY

Past

June 8, 2007 - May 13, 2013

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

July 20, 2005 - November 3, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SMITHFIELD, RI

Past

August 10, 2000 - May 14, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

Past

July 23, 1998 - February 29, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

TRAYNOR CAPITAL MANAGEMENT

TRAYNON CAPITAL MANAGEMENT | TRAYNOR, KEITH THOMAS | TRAYNOR CAPITAL MANAGEMENT, INC. | TRAYNOR CAPITAL MANAGEMENT

CRD#: 138881 / SEC#: 801-78760

RIA

Registered Investment Advisory firm - (11/5/2013 Approved)

Georgia

Registered Investment Advisory firm - (11/7/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (11/21/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/7/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/7/2013 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.

Highlighted states indicate IAR registrations

IAR

New York
(8/26/2025)

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: 4/27/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2014

General Securities Principal Examination

Current Firm

TRAYNOR CAPITAL MANAGEMENT

TRAYNON CAPITAL MANAGEMENT | TRAYNOR, KEITH THOMAS | TRAYNOR CAPITAL MANAGEMENT, INC. | TRAYNOR CAPITAL MANAGEMENT

CRD#: 138881 / SEC#: 801-78760

RIA

Registered Investment Advisory firm - (11/5/2013 Approved)

Georgia

Registered Investment Advisory firm - (11/7/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (11/21/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/7/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/7/2013 Terminated)

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Contact information

Main Address

418 E King St, Malvern, PA 19355

Mailing Address

Phone number

(610) 993-9050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRAYNOR CAPITAL MANAGEMENT ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,425
AUM (Assets Under Management)	$ 1,845,679,326

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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Simon A. Arrata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Antoine Arrata's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARVEST USA

SOWELL MANAGEMENT

TARGETED FINANCIAL SERVICES, LLC

TRIAD ADVISORS LLC

HARVEST USA

FIDELITY DISTRIBUTORS COMPANY LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

TRAYNOR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2019

Series 63

Date: 7/30/1998

SIE

Date: 8/10/2017

Series 7

Date: 7/22/1998

Series 24

Date: 3/13/2014

Current Firm

TRAYNOR CAPITAL MANAGEMENT

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAYNOR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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