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Aaron R. Day
CAPITAL ADVISORS
FRISCO, TX 75034
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CRD#: 5045343
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Professional summary
Aaron Robert Day is a registered financial advisor currently at CAPITAL ADVISORS, INC. located in Frisco, Texas.
Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Aaron has worked at 5 firms and has passed the Series 66, Series 7TO, SIE 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.) NAME OF OBA: THE PARK AT WOODLANDS TRAILS TOWNHOMES; ADDRESS: HOUSTON, TX 77040; NATURE: PASSIVE INVESTOR; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: PASSIVE INVESTOR; DUTIES: PASSIVE INVESTOR; START DATE: 03/2018; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: TOWNE OAKS APRTMENT LONGVIEW LLC; ADDRESS: LONGVIEW, TX 75605; NATURE: PASSIVE INVESTOR; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: PASSIVE INVESTOR; DUTIES: PASSIVE INVESTOR; START DATE: 07/2018; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: BROOK HOLLOW APARTMENTS; ADDRESS: DESOTO, TX 75115; NATURE: PASSIVE INVESTOR; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: PASSIVE INVESTOR; DUTIES: PASSIVE INVESTOR; START DATE: 01/2017; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (4.) NAME OF OBA: BROOKSIDE APARTMENTS; ADDRESS: ARLINGTON, TX 76006; NATURE: PASSIVE INVESTOR; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: PASSIVE INVESTOR; DUTIES: PASSIVE INVESTOR; START DATE: 10/2017; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Robert Day'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
December 23, 2020 - Present
CAPITAL ADVISORS, INC.
Office #1: 3001 Dallas Parkway, Frisco, TX 75034RIA
CRD#: 104643
FRISCO, TX
Past
March 9, 2016 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
LEWISVILLE, TX
Past
March 9, 2016 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
LEWISVILLE, TX
Past
May 24, 2010 - January 20, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
PLANO, TX
Past
January 31, 2008 - January 20, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
PLANO, TX
Past
April 22, 2006 - January 20, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
PLANO, TX
Past
December 13, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
FORT WORTH, TX
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".
CA
CAPITAL ADVISORS, INC.
CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
RIA
Registered Investment Advisory firm - (9/18/1978 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
Oklahoma(12/5/2022)
IAR
Texas(12/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CAPITAL ADVISORS, INC.
CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
RIA
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Contact information
Main Address
2222 South Utica Place Suite 300, Tulsa, OK 74114
Mailing Address
Phone number
(866) 230-5879
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
Red Flags
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Company Information
CAPITAL ADVISORS, INC.
CRD#: 104643Frisco, TX 75034TRUST BUT VERIFY
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