BV
Barclay Vajda
EMBARK WEALTH MANAGEMENT
TEMPE, AZ 85281
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CRD#: 4174723
BV
Professional summary
Barclay Vajda, who also goes by Barclay D Vajda, Barclay David Vajda, is a registered financial advisor currently at EMBARK WEALTH MANAGEMENT, LLC located in Tempe, Arizona.
Barclay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Barclay has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Barclay D Vajda | Barclay David Vajda
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. Vajda is a licensed insurance agent.
CRS (Client Relationship Summary) - RIA
Click below to view Barclay Vajda'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
October 19, 2021 - Present
EMBARK WEALTH MANAGEMENT, LLC
Office #1: 398 S Mill Avenue Suite 302, Tempe, AZ 85281RIA
CRD#: 157950
TEMPE, AZ
Past
October 2, 2020 - September 28, 2021
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Scottsdale, AZ
Past
October 1, 2020 - September 28, 2021
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Scottsdale, AZ
Past
September 22, 2017 - March 28, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
Past
September 22, 2017 - March 28, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
Past
March 13, 2017 - July 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
January 5, 2017 - July 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
October 15, 2002 - October 30, 2003
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
September 7, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
EW
EMBARK WEALTH MANAGEMENT, LLC
EMBARK WEALTH MANAGEMENT | EMBARK WEALTH MANAGEMENT, LLC
CRD#: 157950 / SEC#: 801-129246
RIA
Registered Investment Advisory firm - (1/3/2024 Approved)Arizona
Registered Investment Advisory firm - (1/8/2024 Terminated)California
Registered Investment Advisory firm - (2/7/2024 Terminated)Florida
Registered Investment Advisory firm - (1/8/2024 Terminated)Georgia
Registered Investment Advisory firm - (1/16/2024 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2024 Terminated)Maryland
Registered Investment Advisory firm - (1/10/2024 Terminated)Minnesota
Registered Investment Advisory firm - (1/9/2024 Terminated)Missouri
Registered Investment Advisory firm - (1/8/2024 Terminated)New Jersey
Registered Investment Advisory firm - (1/8/2024 Terminated)New York
Registered Investment Advisory firm - (1/8/2024 Terminated)North Carolina
Registered Investment Advisory firm - (1/23/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/8/2024 Terminated)Tennessee
Registered Investment Advisory firm - (1/8/2024 Terminated)Texas
Registered Investment Advisory firm - (1/8/2024 Terminated)Virginia
Registered Investment Advisory firm - (1/9/2024 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(11/3/2021)
IAR
California(10/19/2021)
IAR
Florida(10/29/2021)
IAR
New Jersey(12/6/2021)
IAR
New York(11/8/2021)
IAR
Texas(10/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EW
EMBARK WEALTH MANAGEMENT, LLC
EMBARK WEALTH MANAGEMENT | EMBARK WEALTH MANAGEMENT, LLC
CRD#: 157950 / SEC#: 801-129246
RIA
Registered Investment Advisory firm - (1/3/2024 Approved)Arizona
Registered Investment Advisory firm - (1/8/2024 Terminated)California
Registered Investment Advisory firm - (2/7/2024 Terminated)Florida
Registered Investment Advisory firm - (1/8/2024 Terminated)Georgia
Registered Investment Advisory firm - (1/16/2024 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2024 Terminated)Maryland
Registered Investment Advisory firm - (1/10/2024 Terminated)Minnesota
Registered Investment Advisory firm - (1/9/2024 Terminated)Missouri
Registered Investment Advisory firm - (1/8/2024 Terminated)New Jersey
Registered Investment Advisory firm - (1/8/2024 Terminated)New York
Registered Investment Advisory firm - (1/8/2024 Terminated)North Carolina
Registered Investment Advisory firm - (1/23/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/8/2024 Terminated)Tennessee
Registered Investment Advisory firm - (1/8/2024 Terminated)Texas
Registered Investment Advisory firm - (1/8/2024 Terminated)Virginia
Registered Investment Advisory firm - (1/9/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
398 S Mill Avenue Suite 302, Tempe, AZ 85281
Mailing Address
Phone number
(888) 433-8881
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 388 |
| AUM (Assets Under Management) | $ 51,847,440 |
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.
