XM
Xerxes S. Mullan
AVESTAR CAPITAL
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4579996
XM
Professional summary
Xerxes Soli Mullan is a registered financial advisor currently at AVESTAR CAPITAL, LLC located in New York, New York.
Xerxes is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Xerxes has worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 3 and Series 7 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)Avestar Capital Partners-Investment related-400 Madison Street Suite 11D, New York, NY 100175-RIA-CEO & Advisor-3/2014-200 hrs/mth-100% during trading hrs- Financial planning, investments & balance sheet management.
2)One motel condo- Not investment related-2301 Collins Ave, Miami Beach, FL 33139-Rental Property-Owner-2014-0 hrs/mth-0 during trading hrs-Rental property
3)556 3rd Ave-Not investment related-Rental property-Owner-2010-0 hrs/mth-0 during trading hrs-Rental Property
4)2020 Lofts-Not investment related-2020 12th Street, Washington DC-Rental Property-Owner-2006-0 hrs/mth-0 during trading hrs-Rental Property
5)Pratham USA-Not investment related-55 Exchange Place, Ste 402, NY, NY 10005-Education nonprofit-Board of directors-2016-5-10 hrs/mth-100% during trading hrs-Provide leadership to organization.
6) KPMG Corporate Finance, LLC-Not investment related-200 E. Randolph St., Chicago, IL 60601-KPMG Corporate Finance, LLC-KPMG will provide a finder's fee payment to Mr. Mullan although not a RR or their firm.
CRS (Client Relationship Summary) - RIA
Click below to view Xerxes Soli Mullan'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
April 4, 2025 - Present
AVESTAR CAPITAL, LLC
Office #1: 400 Madison Avenue Floor 21, New York, NY 10017RIA
CRD#: 287525
NEW YORK, NY
Past
March 23, 2017 - June 5, 2019
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
New York, NY
Past
March 17, 2017 - December 31, 2021
AVESTAR CAPITAL, LLC
RIA
CRD#: 287525
NEW YORK, NY
Past
April 9, 2003 - March 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
April 9, 2003 - March 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 15, 2002 - October 28, 2002
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
AC
AVESTAR CAPITAL, LLC
3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA
CRD#: 287525 / SEC#: 801-110020
RIA
Registered Investment Advisory firm - (3/9/2017 Approved)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(4/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
AVESTAR CAPITAL, LLC
3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA
CRD#: 287525 / SEC#: 801-110020
RIA
Registered Investment Advisory firm - (3/9/2017 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
400 Madison Avenue Floor 21, New York, NY 10017
Mailing Address
Phone number
(212) 706-4140
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 194 |
| AUM (Assets Under Management) | $ 1,531,369,044 |
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.
