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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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xerxes Soli Mullan's CRS (Customer Relationship Summary).
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

April 4, 2025 - Present

AVESTAR CAPITAL, LLC

Office #1: 400 Madison Avenue Floor 21, New York, NY 10017
RIA
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
IAR
Series 65
Date: 5/20/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/26/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/21/2002
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2002
General Securities Representative Examination

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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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 (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AVESTAR CAPITAL ADV PART 2A 03.2026 (3/17/2026)

Regulatory assets under management

Total Number of Accounts190
AUM (Assets Under Management)$ 2,066,742,787

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.

Company Information

AVESTAR CAPITAL, LLC

CRD#: 287525New York, NY 10017

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