FF
Firouz N. Farrokh
ARIA
CLERMONT, FL
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CRD#: 734716
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Professional summary
Firouz Nick Farrokh is a registered financial advisor currently at ARIA CORPORATION located in Clermont, Florida.
Firouz is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Firouz has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 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.
Licensed Life/Health/Variable Annuities Agent/Broker Since 1979:
In addition to the management and financial planning fees, I as individual IA Rep of ARIA Corporation I am also licensed as Insurance Agents to sell Insurance products and may receive insurance commissions for the sale of those insurance products.
If you wish to procure advice by purchasing securities or insurance products directly, you are free to select the broker you prefer. However, if you wish to purchase insurance product from Firouz Nick Farrokh, he will earn normal sales commissions for any transactions it places through them for you.
Tax Preparer
ARIA corporation PTIN is [ACCOUNT NO.].
This service is primarily provided for our investment clients on first come first served basis.
We usually work with four different CPA's that our client have been using for several years for their tax work, and usually they will guide us in any areas of their expertise we might need.
Most of our clients use our skills in Income and Estate Tax planning, in regular basis. And throughout the tax year we assist our clients and their CPA's in data gathering process for their income and other taxes. That includes cost basis calculations of securities, real estate or other assets. Plus many other tax related documents for individual, business and estate tax purposes.
In case of a tax audit we will aid our clients and their CPA to organize and summarize some of the required tax documentation and information.
We usually will not charge any fees for this service as long as it does not exceed five hours of work annually. Otherwise we will charge the hourly rates indicated in the client investment policy.
We usually will limit our work to 6 hours per week, but only outside of securities trading hours, and some weekends.
SOCCER REFEREE/INSTRUCTOR
Also Firouz Nick Farrokh is Registered Agent at NK Soul , LLC
5462 Emma Lake Ct. Melbourne, FL 32934, without any functions in that company.
CRS (Client Relationship Summary) - RIA
Click below to view Firouz Nick Farrokh'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
January 19, 2000 - Present
ARIA CORPORATION
RIA
CRD#: 137252
CLERMONT, FL
Past
October 16, 1992 - February 1, 2000
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
July 13, 1981 - October 16, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 13, 1981 - October 16, 1992
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Florida(1/19/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
AC
ARIA CORPORATION
ARIA CORP. | ASSOCIATION OF REGISTERED INVESTMENT ADVISORS, INC. (ARIA CORP.) | ARIA CORPORATION
CRD#: 137252 / SEC#:
Florida
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Contact information
Main Address
Clermont, FL
Mailing Address
Phone number
(904) 392-8556
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 22,771,000 |
Red Flags
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