AM
Ariana A. Miramontes
MIRAMONTES CAPITAL
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 6142259
AM
Professional summary
Ariana Anais-mangum Miramontes, who also goes by Ariana Anais Mangum, is a registered financial advisor currently at MIRAMONTES CAPITAL, LLC located in Newport Beach, California.
Ariana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Ariana has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ariana Anais Mangum
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) Miramontes Capital; investment related; 620 Newport Center Dr #650, Newport Beach, CA 92660; Broker Dealer; managing member part owner; 6/2015; 100 hrs/month; day to day ops compliance portfolio 2) Miramontes Capital Property Management; non-investment related; 316 Emerald Bay, Laguna Beach, CA 92651; rental property; co-owner; 1/2018; 2 hrs/month; run companies rental property business 3) "Girl Talk: Money" Book; investment related; 620 Newport Center Dr #650, Newport Beach, CA 92660; finance book for women; author; 1/2018 4) Apex Tax & Estate Planning; non-invest; 316 Emerald Bay, Laguna Beach, CA 92651; tax & estate planning; owner; 1/2018; 2 hrs/month; assist clients with tax and estate planning needs 5) All Inclusive Insurance Services; investment-related; 620 Newport Center Dr, Suite 650, Newport Beach, CA 92660, fixed annuity sales, owner; 1/2019; 10 hrs/month; selling fixed annuities to clients 6) Laguna Beach Parents Club; non-invest; PO Box 1636, Laguna Beach CA, 92651; Parents Club; treasurer; 6/1/22; 4 hrs/month; issue checks; reconcile bank account; vote on club matters 7) Maritravelconcierge; non-investment related; 316 Emerald Bay, Laguna Beach CA, 92651; travel agency; President; 12/5/22; 10hrs/mth; 0hrs/mth during trading hrs; arrange trips for clients.
CRS (Client Relationship Summary) - RIA
Click below to view Ariana Anais-mangum Miramontes'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
August 4, 2015 - Present
MIRAMONTES CAPITAL, LLC
Office #1: 4701 Teller Ave, Newport Beach, CA 92660RIA
CRD#: 264786
Newport Beach, CA
Past
January 11, 2022 - June 6, 2023
SAXONY SECURITIES, INC.
BD
CRD#: 115547
Newport Beach, CA
Past
December 7, 2015 - November 17, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Newport Beach, CA
Past
January 15, 2014 - March 4, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BREA, CA
Past
October 11, 2013 - March 4, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BREA, CA
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".
MC
MIRAMONTES CAPITAL, LLC
BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC
CRD#: 264786 / SEC#: 801-110012
RIA
Registered Investment Advisory firm - (3/2/2017 Approved)California
Registered Investment Advisory firm - (4/6/2017 Terminated)Texas
Registered Investment Advisory firm - (3/7/2017 Terminated)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
California(8/4/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MC
MIRAMONTES CAPITAL, LLC
BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC
CRD#: 264786 / SEC#: 801-110012
RIA
Registered Investment Advisory firm - (3/2/2017 Approved)California
Registered Investment Advisory firm - (4/6/2017 Terminated)Texas
Registered Investment Advisory firm - (3/7/2017 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4701 Teller Ave, Newport Beach, CA 92660
Mailing Address
Phone number
+1 (800) 460-1595
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,245 |
| AUM (Assets Under Management) | $ 296,285,231 |
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.
