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BS

Brayden A. Sarathy

ALLEN, MOONEY & BARNES BROKERAGE SERVICES
Charleston, SC 29403
Some features on this profile are disabled
CRD#: 7962542
BS

Professional summary

Brayden Aaron Sarathy is a registered financial professional currently at ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC located in Charleston, South Carolina.

Brayden is registered as a RR (Registered Representative) and started their career in finance in 2024. Brayden has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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 Brayden Aaron Sarathy'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

August 31, 2024 - Present

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

Office #1: 677 King Street Suite 410, Charleston, SC 29403
BD
CRD#: 142619
Charleston, SC

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
South Carolina
(9/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/30/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
ALLEN MOONEY BARNES BROKERAGE SERVICES | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

CRD#: 142619 / SEC#: , 8-67477

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

Main Address
135 S. Madison Street, Thomasville, GA 31792
Mailing Address
Post Office Box 1116, Thomasville, GA 31799
Phone number
(229) 225-1500
Established
Georgia since 11/09/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 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#
FAIM INVESTMENTS LLCDIRECT OWNER
MANER, GORDON ALLENMANAGING MEMBER4916231
ALLEN, MIRON HERBERT JRMANAGING MEMBER1561147
NICKS, BRENT PATRICKCHIEF COMPLIANCE OFFICER4067773
STRICKLAND, HEATHER MICHELECHIEF FINANCIAL OFFICER

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

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

CRD#: 142619Charleston, SC 29403

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