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Current Employers
Arax Advisory Partners

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-20
  • TX RA
    APPROVED
    Since 2026-07-20

Branch Locations

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

4444 Westheimer Road Suite G500, Houston, TX 77027 • 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
Hb Asset Management Houston TX 04/2015 11/2016
Global Investor Services, Lc Houston TX 10/2015 11/2016
Global Investor Advisory Services Miami FL 04/2016 11/2016
Wells Fargo Clearing Services Llc Houston TX 11/2016 12/2018
Oppenheimer & Co. Inc Houston TX 12/2018 12/2025
Usca Securities Llc Houston TX 12/2025 Present
Us Capital Wealth Advisors Llc Houston TX 12/2025 06/2026
Arax Advisory Partners Houston TX 06/2026 Present
Previous Registrations
Other Businesses

1.ADVISORY BOARD MEMBER FOR THE BUSH SCHOOL OF GOVERNMENT & PUBLIC SERVICE WHOSE MAIN ACTIVITY IS TO DEVELOP PRINCIPLED LEADERS IN PUBLIC AND INTERNATIONALS AFFAIRS, CONDUIT RESEARCH, AND ENCOURAGE THEM TO PERFORM PUBLIC/COMMUNITY SERVICE IN THEIR CAREERS. 2.THE PETROLEUM CLUB OF HOUSTON. NON-INVESTMENT RELATED. A SOCIAL PRIVATE CLUB. 1201 LOUISIANA ST., 35TH FLOOR, HOUSTON, TX 77002. BOARD MEMBER AS OF JUNE 13, 2023. 4 HOURS ESTIMATED PER MONTH DURING NON-BUSINESS HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-19
S63 Uniform Securities Agent State Law Examination 1997-08-14
  • S65 Uniform Investment Adviser Law Examination
    2015-05-19
  • S63 Uniform Securities Agent State Law Examination
    1997-08-14

View on SEC IAPD

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