Paul D. Spurlock

ARIS CAPITAL STRATEGIES

Raleigh, NC

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CRD#: 4516725

Professional summary

Paul Daniel Spurlock is a registered financial advisor currently at ARIS CAPITAL STRATEGIES, LLC located in Raleigh, North Carolina.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Paul has worked at 7 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) 07/2005 - PRESENT, ARIS WEALTH MANAGEMENT LLC, OWNER/PRESIDENT 2) 07/2016 - PRESENT, ADVISOR TRAINING SYSTEM, LLC, 7912 CLOVER CREEK CT, RALEIGH NC 27613, OWNER/PRESIDENT, SALES TRAINING CONSULTANT FOR ADVISORS HOURS DEDICATED: 5 HRS/WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Daniel Spurlock'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

November 30, 2023 - Present

ARIS CAPITAL STRATEGIES, LLC

RIA

CRD#: 327675

Raleigh, NC

Past

April 16, 2019 - November 29, 2023

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

LAFAYETTE, CO

Past

April 22, 2016 - April 23, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

LAFAYETTE, CO

Past

February 5, 2015 - May 13, 2016

BROOKSTONE ASSET MANAGEMENT, LLC

RIA

CRD#: 153467

RALEIGH, NC

Past

February 25, 2014 - May 13, 2016

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

RALEIGH, NC

Past

July 10, 2013 - February 28, 2014

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

RALEIGH, NC

Past

February 25, 2003 - December 18, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(11/30/2023)

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: 6/25/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 2/24/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARIS CAPITAL STRATEGIES, LLC

CRD#: 327675 / SEC#:

Idaho

Registered Investment Advisory firm - (4/10/2025 Approved)

North Carolina

Registered Investment Advisory firm - (11/30/2023 Approved)

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Contact information

Main Address

Angier, NC

Mailing Address

Phone number

(919) 780-8395

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 8,000,000

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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Paul D. Spurlock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Daniel Spurlock's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARIS CAPITAL STRATEGIES, LLC

J. W. COLE ADVISORS, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

BROOKSTONE ASSET MANAGEMENT, LLC

BROOKSTONE WEALTH ADVISORS, LLC

HORTER INVESTMENT MANAGEMENT, LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2013

Series 6

Date: 2/24/2003

Current Firm

ARIS CAPITAL STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARIS CAPITAL STRATEGIES, LLC

TRUST BUT VERIFY

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