Abdolali Afshar

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CRD#: 1330600

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Abdolali Afshar, who also goes by Ali Afshar, Abdolali Ahshar, Ali Ahshar, was a registered financial advisor .

Abdolali is a previously registered financial advisor and started their career in finance in 1984. Abdolali had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ali Afshar | Abdolali Ahshar | Ali Ahshar

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 2009 - December 31, 2009

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

November 8, 2007 - December 31, 2008

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

July 5, 2007 - November 8, 2007

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

ENCINO, CA

Past

July 5, 2007 - November 8, 2007

WEDBUSH SECURITIES INC.

CRD#: 877

ENCINO, CA

Past

May 23, 2002 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

ENCINO, CA

Past

March 11, 2002 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

ENCINO, CA

Past

August 18, 1994 - March 15, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 3, 1990 - August 22, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 12, 1985 - December 4, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 19, 1984 - July 30, 1985

CIBC WORLD MARKETS CORP.

CRD#: 630

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/11/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/2003

General Securities Principal Examination

Current Firm

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765

Mailing Address

P. O. Box 274, Brea, CA 92822

Phone number

(310) 751-7098

Established

California since 02/24/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV II (3/29/2025)

Direct owners and executive officers

Name	Position	CRD#
SC ADD HOLDINGS, LLC	OWNER
BAINES AND MCADAMS LIVING TRUST	OWNER
BAINES, HEATHER UNA	TRUSTEE OF BAINES & MCADAMS LIVING TRUST	2173889
LEE, FAITH	PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC	2715226
MCADAMS, JOSEPH LLOYD JR	SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST	2173886
THORNTON, STEVEN LEE	FINANCIAL AND OPERATIONS PRINCIPAL	4496384

Regulatory assets under management

Total Number of Accounts	393
AUM (Assets Under Management)	$ 122,987,781

Disclosures

Regulatory Event	4
Arbitration	1

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.

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Firm Stability Insights

Abdolali Afshar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYNDICATED CAPITAL, INC.

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

SYNDICATED CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2001

Series 63

Date: 7/6/1990

Series 7

Date: 12/15/1984

Series 24

Date: 5/22/2003

Current Firm

SYNDICATED CAPITAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SYNDICATED CAPITAL, INC.

TRUST BUT VERIFY

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