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AP

Aaron M. Platteis

VIRTUS INVESTMENT ADVISERS
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 5431861
AP

Professional summary

Aaron Matthew Platteis, who also goes by Aaron Platteis, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Hartford, Connecticut and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Aaron has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Aaron Platteis

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 Aaron Matthew Platteis'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®
None

Experience

Current

January 12, 2018 - Present

VIRTUS INVESTMENT ADVISERS, LLC

Office #1: One Financial Plaza 26th Floor, Hartford, CT 06103
RIA
CRD#: 106982
Hartford, CT
Current

October 11, 2017 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103
BD
CRD#: 3036
Hartford, CT
Past

September 21, 2016 - September 14, 2017

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
VERNON, CT
Past

July 29, 2013 - September 21, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
VERNON, CT
Past

January 3, 2013 - July 25, 2013

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SIMSBURY, CT
Past

July 27, 2011 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
SIMSBURY, CT
Past

November 21, 2007 - March 25, 2010

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
WINDSOR, CT

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".
VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/11/2017)
IAR
Connecticut
(1/12/2018)
RR
Florida
(1/4/2019)
RR
Kansas
(6/26/2025)
RR
Missouri
(6/26/2025)
RR
Nebraska
(6/26/2025)
RR
Puerto Rico
(1/4/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/12/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/20/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)
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Contact information

Main Address
One Financial Plaza 26th Floor, Hartford, CT 06103
Mailing Address
Phone number
(800) 248-7971
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts105
AUM (Assets Under Management)$ 53,982,609,839

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

VIRTUS INVESTMENT ADVISERS, LLC

CRD#: 106982Hartford, CT 06103

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