PM
Paul L. Moffat
ARISTA WEALTH MANAGEMENT
Las Vegas, NV 89148-1303
Some features on this profile are disabled
CRD#: 3181634
PM
Professional summary
Paul Lawrence Moffat, who also goes by Paul L Moffat, is a registered financial advisor currently at ARISTA WEALTH MANAGEMENT, LLC located in Las Vegas, Nevada.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Paul has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul L Moffat
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.
Paul Moffat is a licensed insurance agent for various carriers. business investment-related? ; yes; address of the other business; various nature of the other business; IAR's sell insurance to RIA clients. your position; Licensed insurance representative title, or relationship with the other business; Insurance representative. start date of your relationship; Licensed in Nevada and New Mexico. Approximate number of hours/month you devote to the other business; 20 hours monthly number of hours you devote to the other business during securities trading hours;20 hours monthly briefly describe your duties relating to the other business; offer and sell insurance products to RIA clients and others. Paul Moffat is an owner of Siggard, LLC, a pest control company. He receives compensation from this business venture but does not spend any time on the management of the business. This business is not investment related. Paul Moffat is owner of TJA, LLC and TJA II, LLC, which are personal real estate ventures that own affiliate offices. He is compensated by ownership interest but does not spend time on the management of these entities. Start date: 10/9/23. Location: Nevada. Paul Moffat is Board of Directors Trustee at Southern Virginia University . Location: One University Hill Drive Buena Vista Virginia 24416. Investment related: No. Start Date: 2024-09-01. Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Lawrence Moffat'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 16, 2006 - Present
ARISTA WEALTH MANAGEMENT, LLC
Office #1: 8876 Spanish Ridge Ave, Suite 202, Las Vegas, NV 89148-1303RIA
CRD#: 141504
Las Vegas, NV
Past
November 18, 2004 - January 15, 2008
PRASADA CAPITAL, LLC
RIA
CRD#: 133318
LAS VEGAS, NV
Past
May 20, 1999 - November 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LAS VEGAS, NV
Past
March 10, 1999 - November 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
AW
ARISTA WEALTH MANAGEMENT, LLC
ARISTA WEALTH MANAGEMENT, LLC | CB WEALTH MANAGEMENT
CRD#: 141504 / SEC#: 801-78190
RIA
Registered Investment Advisory firm - (6/13/2013 Approved)Arizona
Registered Investment Advisory firm - (3/7/2014 Terminated)Nevada
Registered Investment Advisory firm - (4/16/2014 Terminated)Texas
Registered Investment Advisory firm - (12/7/2012 Terminated)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
Arizona(4/9/2024)
IAR
Nevada(8/16/2006)
IAR
Texas(3/17/2014)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
AW
ARISTA WEALTH MANAGEMENT, LLC
ARISTA WEALTH MANAGEMENT, LLC | CB WEALTH MANAGEMENT
CRD#: 141504 / SEC#: 801-78190
RIA
Registered Investment Advisory firm - (6/13/2013 Approved)Arizona
Registered Investment Advisory firm - (3/7/2014 Terminated)Nevada
Registered Investment Advisory firm - (4/16/2014 Terminated)Texas
Registered Investment Advisory firm - (12/7/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8876 Spanish Ridge Avenue Suite 202, Las Vegas, NV 89148
Mailing Address
Phone number
(702) 309-9970
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,883 |
| AUM (Assets Under Management) | $ 1,028,543,710 |
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.
