Aaron Pratt

CAIS CAPITAL LLC

NEW YORK, NY 10022

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CRD#: 7532236

Professional summary

Aaron Pratt is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2022. Aaron has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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 Aaron Pratt'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

February 20, 2025 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022

CRD#: 154512

NEW YORK, NY

Past

March 23, 2023 - February 12, 2025

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

MONUMENT, CO

Past

February 6, 2023 - February 12, 2025

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

September 27, 2022 - February 10, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

State Registrations and Notice Filings

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

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

Alaska
(2/20/2025)

Arizona
(2/20/2025)

California
(2/20/2025)

Colorado
(2/20/2025)

Hawaii
(2/20/2025)

Idaho
(2/20/2025)

Montana
(2/20/2025)

Nevada
(2/20/2025)

New York
(2/20/2025)

Oregon
(2/20/2025)

Texas
(2/20/2025)

Utah
(2/20/2025)

Washington
(2/20/2025)

Wyoming
(2/20/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/22/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/26/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/25/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Mailing Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Phone number

(212) 300-9350

Established

Delaware since 07/27/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL INTEGRATION SYSTEMS LLC	PARENT/OWNER
BROWN, MATTHEW CRAWFORD	CEO/MEMBER/EXECUTIVE REP.	2160159
COLLINS, MICHAEL PATRICK	CCO	5366193
KRZAK, ALEXANDER JACOB	POO	6349160
PARISE, JANICE DRU	FINOP/PFO	2338583
PREMSELAAR, MARC KLEIN	SENIOR MANAGING DIRECTOR	5395973
SHANNON, TIMOTHY BRIAN	PRESIDENT	4461906
WALKER, BRADLEY JAY	SENIOR MANAGING DIRECTOR	5000838

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.

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Aaron Pratt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron Pratt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAIS CAPITAL LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/2023

Series 63

Date: 10/4/2022

Series 7TO

Date: 9/26/2022

SIE

Date: 7/25/2022

FINRA

Current Firm

CAIS CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAIS CAPITAL LLC

TRUST BUT VERIFY

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