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Gerald Ariyan

Chairman at Arax Advisory Partners

Investment adviser and broker registrationsSEC record checked 17 October 2026

31
Years in the industry
3
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Gerald Ariyan is Chairman of Arax Advisory Partners, LLC, a New York investment adviser managing $26.5B. Gerald Ariyan has 31 years in the industry across 3 firms and has passed 9 licensing exams.

Role at Arax Advisory Partners

Title on Schedule A
Chairman
Control
Gerald Ariyan is a control person of Arax Advisory Partners.
Ownership
An individual ownership band is not available in the source record.
Tenure
Gerald Ariyan has held the filed role since June 2024.

The firm

Arax Advisory Partners, LLC
New York, NY

Form ADV filed 14 August 2026

$26.5B AUM15,662 clients168 advisers34 offices

Career on record

Firms and exams, newest first
  1. Ashton Thomas Securities, LLCCurrent
    – present · 2 years
    New York, NY · Adviser representative · Firm CRD 16629
  2. Passed Series 57TO · 2023
  3. Raymond James & Associates, Inc.
    – · 1 year
    New York, NY · Adviser representative · Firm CRD 705
  4. Passed SIE · 2018
  5. Deutsche Bank Securities Inc.
    – · under a year
    New York, NY · Adviser representative · Firm CRD 2525
  6. Passed Series 24 · 2006
  7. Passed Series 10 and Series 9 · 2001
  8. Deutsche Bank Securities Inc.
    – · 6 years
    New York, NY · Adviser representative · Firm CRD 2525
  9. Passed Series 65 · 1999
  10. Passed Series 7, Series 63 and Series 31 · 1993

Registrations and exams

Gerald Ariyan has a current investment-adviser registration in New York and has passed 9 qualifying exams.

New York23 April 2024
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6511 August 1999
Name
Uniform Investment Adviser Law Examination
Series 6326 March 1993
Name
Uniform Securities Agent State Law Examination
Series 2421 March 2006
Name
General Securities Principal Examination
Series 1019 January 2001
Name
General Securities Sales Supervisor - General Module Examination
Series 919 January 2001
Name
General Securities Sales Supervisor - Options Module Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 3116 July 1993
Name
Futures Managed Funds Examination
Series 719 March 1993
Name
General Securities Representative Examination

Individual record

Full name
Gerald Haig Ariyan
CRD
2326282
Firm
Arax Advisory Partners, LLC
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Gerald Ariyan work?

Gerald Ariyan has been Chairman of Arax Advisory Partners, LLC since June 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 August 2026

Is Gerald Ariyan a financial advisor?

Yes. Gerald Ariyan has a current investment-adviser registration in New York, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Gerald Ariyan have?

Gerald Ariyan has worked in the financial industry for 31 years as of 17 October 2026, counted from 11 November 1994, across 3 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Gerald Ariyan passed?

Gerald Ariyan has passed 9 licensing exams: the Series 7, Series 63, Series 31, Series 65, Series 10, Series 9, Series 24, SIE and Series 57TO. The earliest, the Series 7, was passed in March 1993.

Source: IAPD individual record, checked 17 October 2026

Where was Gerald Ariyan previously registered as an investment adviser?

Gerald Ariyan has past investment-adviser registrations through Raymond James & Associates, Inc., June 2021 to September 2022; Deutsche Bank Securities Inc., February 2007 to July 2007; Deutsche Bank Securities Inc., January 2001 to February 2007, across 3 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Arax Advisory Partners

  • Diego Galan
    Chief Financial Officer
  • Brian Durkin
    Chief Compliance Officer
  • James Fortescue
    Managing Partner
  • Drinan Gorney
    Chief of Legal and Compliance
  • David King
    Managing Partner
  • Patrick Mendenhall
    Managing Partner
  • Michael Riordan
    Managing Partner
  • Ryan Stuart
    Director of Operations

Sources

  1. IAPD individual record, CRD 2326282. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Arax Advisory Partners, LLC, filed 14 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Gerald Ariyan or Arax Advisory Partners, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.