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JA

Julian Au

AREAM ADVISORS
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 7818241
JA

Professional summary

Julian Au is a registered financial professional currently at AREAM ADVISORS LLC located in San Francisco, California.

Julian is registered as a RR (Registered Representative) and started their career in finance in 2024. Julian has worked at 1 firm and has passed the Series 79TO and SIE 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 Julian Au'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

October 22, 2024 - Present

AREAM ADVISORS LLC

Office #1: 535 Mission Street Office 1720, San Francisco, CA 94105
BD
CRD#: 318177
San Francisco, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 10/21/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/8/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AA
AREAM ADVISORS LLC
AREAM ADVISORS LLC

CRD#: 318177 / SEC#: , 8-70889

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

Main Address
535 Mission Street Office 1720, San Francisco, CA 94105
Mailing Address
535 Mission Street Office 1720, San Francisco, CA 94105
Phone number
(650) 410-7858
Established
Delaware since 10/13/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AREAM GROUP LLPOWNER
CARDINAL, VINCENT WATSONPRESIDENT1501493
MATISOFF, KIMBERLY DORMANCHIEF COMPLIANCE OFFICER5982741
TUCKER, CLARK BOMARFINOP1977842

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

AREAM ADVISORS LLC

CRD#: 318177San Francisco, CA 94105

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