Ari Daniel Brown
Professional Summary
Ari Daniel Brown is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in Boca Raton, Florida. Ari is registered as a RR (Registered Representative) and started their career in finance in 2024. Ari has worked at 1 firm and has passed the Series 82TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
2 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | ONEILLORICOLICORP | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
Contact Information
Main Address
40 Wall Street Suite 3602, New York, NY 10005Mailing Address
40 Wall Street Suite 3602, New York, NY 10005Phone Number
(212) 293-9090Established
New York since 05/21/1976Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
80SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HACKEL, ROBERT MATTHEW | CEO | 2626413 |
| CROCKETT, RICHARD HUNT | CHIEF COMPLIANCE OFFICER | — |
Regulatory Assets Under Management
Total Number of Accounts
185AUM (Assets Under Management)
$129,823,421Disclosures
Regulatory Event
5Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | ONEILLORICOLICORP | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
State Registrations and Notice Filings
(11/21/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Nov 2024About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ari Daniel Brown's CRS (Customer Relationship Summary).
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