Ara Awakim
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ara Awakim, who also goes by Ara F Awakim, Ara Fahi Awakim, was a registered financial professional .
Ara is a previously registered financial professional and started their career in finance in 2003. Ara had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - February 6, 2026
FISHER INVESTMENTS
May 23, 2014 - July 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2014 - July 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2014 - April 22, 2014
EMERSON EQUITY LLC
November 11, 2013 - April 22, 2014
EMERSON EQUITY LLC
April 11, 2013 - August 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2013 - August 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2009 - June 21, 2010
COUNTRY CAPITAL MANAGEMENT COMPANY
July 2, 2003 - September 9, 2003
COUNTRY CAPITAL MANAGEMENT COMPANY
April 17, 2003 - April 28, 2003
METROPOLITAN LIFE INSURANCE COMPANY
April 17, 2003 - April 28, 2003
MSI FINANCIAL SERVICES, INC.
January 7, 2003 - April 3, 2003
IDS LIFE INSURANCE COMPANY
January 7, 2003 - April 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
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.
