Ariel J. Fuchs
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.
Ariel Jonathan Fuchs, who also goes by Ari Fuchs, Ariel Fuchs, was a registered financial professional .
Ariel is a previously registered financial professional and started their career in finance in 2004. Ariel had worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2013 - February 5, 2021
DAK CAPITAL, LLC
June 1, 2011 - June 19, 2013
KROLL SECURITIES LLC
May 20, 2008 - June 6, 2011
MIDTOWN PARTNERS
April 2, 2004 - May 1, 2008
H.C.WAINWRIGHT & CO., LLC
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
Series 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationCurrent Firm
DAK CAPITAL, LLC
CRD#: 145887 / SEC#: , 8-67764
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHARFSTEIN, ALAN J | PRESIDENT,CCO,AMLCO | |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
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.
