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Current Employers
Arax Advisory Partners

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-05-07
  • NY RA
    APPROVED
    Since 2026-05-07

Branch Locations

2649 South Road Suite 102, Poughkeepsie, NY 12601 • United States

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Poughkeepsie NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Poughkeepsie NY 11/2016 07/2022
Wells Fargo Advisors Financial Network, Llc Poughkeepsie NY 07/2022 04/2026
Arax Advisory Partners, Llc Poughkeepsie NY 04/2026 Present
Previous Registrations
Other Businesses

Member of the Oak Group Wealth Management, investment related, manages FINET practice, started 03/2022, 10 hours per month, no hours during securities trading hours. Keep Hooping LLC, investment related, Poughkeepsie, NY, 50% owner, start date 01/01/2015 1 hour per month, no hours during securities trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-03-06
S63 Uniform Securities Agent State Law Examination 1999-09-07
  • S65 Uniform Investment Adviser Law Examination
    2025-03-06
  • S63 Uniform Securities Agent State Law Examination
    1999-09-07
Other Names
  • Ryan L Peek

View on SEC IAPD

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