Allan D. Babaian

VANTAGE WEALTH MANAGEMENT LLC

AVENTURA, FL 33180

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CRD#: 4155504

Professional summary

Allan Daniel Babaian, who also goes by Allan D Babaian, Allan Damoe; Babaian, Allan Babaian, is a registered financial advisor currently at VANTAGE WEALTH MANAGEMENT LLC located in Aventura, Florida and VCS VENTURE SECURITIES located in New York, New York.

Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Allan has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allan D Babaian | Allan Damoe; Babaian | Allan Babaian

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.

Vantage Wealth Management, Investment Related, President, 80 hours+ per month, 3300 NE 188th St, Suite 212 Aventura, FL 33180 ANJ PARTNERS 3300 NE 188th St, Biscayne Blvd, Suite 212, AVENTURA, FL 33180 PRESIDENT HEDGE FUND GP 10 HRS DURING TRADING HOURS 5 HRS OUTSIDE OF TRADING HOURS START: 10.01.2019 BABAIAN & CO., LP 3300 NE 188th St, Suite 212, AVENTURA, FL 33180 PRESIDENT HEDGE FUND 10 HRS DURING TRADING HOURS 5 HRS OUTSIDE OF TRADING HOURS MANAGES THE FUND START DATE: 10.01.2019 BABAIAN MANAGEMENT COMPANY 3300 NE 188th St, Suite 212, AVENTURA, FL 33180 PRESIDENT HEDGE FUND 10 HRS DURING TRADING HOURS 5 HRS OUTSIDE OF TRADING HOURS MANAGES THE FUND START DATE: 10.01.2019

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Daniel Babaian'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

July 19, 2016 - Present

VANTAGE WEALTH MANAGEMENT LLC

Office #1: 3300 Ne 188th Street Unit 918, Aventura, FL 33180

RIA

CRD#: 179535

AVENTURA, FL

Current

September 24, 2021 - Present

VCS VENTURE SECURITIES

Office #1: 29 Broadway Suite 1502, New York, NY 10006-3201

CRD#: 127921

New York, NY

Past

August 18, 2014 - September 29, 2021

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

MIAMI, FL

Past

November 28, 2012 - August 18, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

MIAMI, FL

Past

November 8, 2010 - July 29, 2014

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

MIAMI, FL

Past

August 26, 2010 - December 19, 2012

VFINANCE INVESTMENTS, INC

CRD#: 44962

MIAMI, FL

Past

January 16, 2009 - August 26, 2010

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BOCA RATON, FL

Past

March 13, 2008 - January 15, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MELVILLE, NY

Past

November 5, 2007 - January 15, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MELVILLE, NY

Past

January 20, 2006 - November 5, 2007

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BOCA RATON, FL

Past

April 1, 2004 - May 3, 2005

KBR CAPITAL MARKETS, LLC

CRD#: 128800

PALO ALTO, CA

Past

October 7, 2003 - April 1, 2004

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BOCA RATON, FL

Past

November 20, 2002 - October 27, 2003

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

April 14, 2000 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

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

California
(9/24/2021)

IAR

California
(1/16/2024)

IAR

Colorado
(6/1/2018)

Colorado
(11/10/2021)

Connecticut
(9/19/2024)

IAR

Florida
(7/19/2016)

Florida
(10/20/2021)

Indiana
(9/24/2021)

Maine
(3/18/2024)

Michigan
(9/24/2021)

Minnesota
(12/16/2021)

Missouri
(6/13/2024)

Nevada
(10/28/2021)

IAR

New Jersey
(7/3/2018)

New Jersey
(11/5/2021)

New York
(9/24/2021)

North Carolina
(6/14/2024)

Ohio
(9/24/2021)

South Carolina
(6/13/2024)

IAR

Tennessee
(3/7/2018)

Tennessee
(1/23/2024)

IAR

Texas
(7/11/2018)

Texas
(2/17/2022)

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 66

Date: 1/31/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/25/2000

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: 3/21/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/13/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANTAGE WEALTH MANAGEMENT LLC

JOSEPH STONE WEALTH MANAGEMENT LLC | VANTAGE WEALTH MANAGEMENT LLC

CRD#: 179535 / SEC#:

California

Registered Investment Advisory firm - (1/16/2024 Approved)

Colorado

Registered Investment Advisory firm - (6/1/2018 Approved)

Florida

Registered Investment Advisory firm - (7/19/2016 Approved)

New Jersey

Registered Investment Advisory firm - (7/3/2018 Approved)

New York

Registered Investment Advisory firm - (1/2/2018 Approved)

Tennessee

Registered Investment Advisory firm - (3/7/2018 Approved)

Texas

Registered Investment Advisory firm - (7/11/2018 Conditional Restricted)

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Contact information

Main Address

3300 Ne 188th Street Unit 918, Aventura, FL 33180

Mailing Address

Phone number

(917) 647-9052

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 51,000,000

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

Allan D. Babaian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Daniel Babaian's CRS (Customer Relationship Summary).

Certified licenses

Experience

VCS VENTURE SECURITIES

JOSEPH STONE CAPITAL L.L.C.

NATIONAL SECURITIES CORPORATION

B. RILEY WEALTH ADVISORS, INC.

VFINANCE INVESTMENTS, INC

SHEARSON FINANCIAL SERVICES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

SHEARSON FINANCIAL SERVICES, LLC

KBR CAPITAL MARKETS, LLC

SHEARSON FINANCIAL SERVICES, LLC

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2008

Series 63

Date: 5/25/2000

SIE

Date: 10/1/2018

Series 31

Date: 3/21/2008

Series 7

Date: 4/13/2000

FINRA

Current Firm

VANTAGE WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VANTAGE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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