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CE

Connor H. Ervin

ARES MANAGEMENT CAPITAL MARKETS LLC
Denver, CO 80202
Some features on this profile are disabled
CRD#: 6349783
CE

Professional summary

Connor Henderson Ervin is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Denver, Colorado.

Connor is registered as a RR (Registered Representative) and started their career in finance in 2015. Connor has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Connor Henderson Ervin's CRS (Customer Relationship Summary).
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 2, 2026 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 1200 17th Street Suite 2900, Denver, CO 80202
BD
CRD#: 166219
Denver, CO
Past

March 18, 2019 - January 2, 2026

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

August 28, 2015 - March 19, 2019

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Colorado
(1/2/2026)
RR
Illinois
(1/2/2026)
RR
Indiana
(1/2/2026)
RR
Iowa
(1/2/2026)
RR
Michigan
(1/2/2026)
RR
Minnesota
(1/2/2026)
RR
Nebraska
(1/2/2026)
RR
North Dakota
(1/2/2026)
RR
South Dakota
(1/2/2026)
RR
Wisconsin
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2015
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: 4/25/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/28/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1200 17th Street Suite 2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite 2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCO-CEO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
TAYLOR, JEFFREY WILLIAMCO-CEO2874057

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Denver, CO 80202

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