Ara Awakim, financial advisor Chandler AZ
81 score

Ara Awakim

CRD Number: 4612988
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ara Awakim (CRD# 4612988) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chandler, AZ and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America N.a. Chandler, AZ Jun 2014 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler, AZ May 2014 - Current 2
Emerson Equity Aliso Viejo, CA Aug 2013 - Apr 2014 < 1
Bank Of America, N.a. Laguna Hills Ca, CA Jun 2013 - Aug 2013 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Laguna Hills, CA Dec 2012 - Aug 2013 < 1
Unemployed Ocean Beach, CA Sep 2012 - Dec 2012 < 1
Banktek Mesa, AZ Aug 2011 - Sep 2012 1
Entrust Bankcard Mesa, AZ Jun 2010 - Aug 2011 1
Country Capital Management Scottsdale, AZ Jul 2009 - Jun 2010 < 1
Unemployed Scottsdale, AZ May 2009 - Jul 2009 < 1
Barker Education Scottsdale, AZ Feb 2009 - May 2009 < 1
Berkana Townhomes Phoenix, AZ May 2008 - Feb 2009 < 1
Maher Partners Mesa, AZ Feb 2008 - May 2008 < 1
Bernard Allison Realty Group Phoenix, AZ Feb 2006 - Apr 2008 2
American Realty Brokers Phoenix, AZ Apr 2007 - Feb 2008 < 1
Berbard Allison Realty Phoenix, AZ Feb 2006 - Apr 2007 1
Desert Crown Realty Mesa, AZ Nov 2003 - Dec 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2009
S66 NASAA Uniform Combined State Law Examination Apr 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Ara Awakim
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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