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WA

Waiel R. Ali

Some features on this profile are disabled
CRD#: 1636468
WA

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.

Waiel R Ali, who also goes by Waiel Rida Ali, was a registered financial professional .

Waiel is a previously registered financial professional and started their career in finance in 1987. Waiel had worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Waiel Rida Ali

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

January 6, 2021 - February 18, 2021

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
COSTA MESA, CA
Past

December 9, 2019 - December 10, 2020

SPIRE WEALTH MANAGEMENT, LLC

RIA
CRD#: 113908
Charlotte, NC
Past

December 6, 2019 - December 10, 2020

SPIRE SECURITIES, LLC

BD
CRD#: 144131
MCLEAN, VA
Past

September 30, 2008 - March 7, 2019

TD AMERITRADE, INC.

RIA
CRD#: 7870
SAN DIEGO, CA
Past

September 30, 2008 - March 7, 2019

TD AMERITRADE, INC.

BD
CRD#: 7870
SAN DIEGO, CA
Past

August 15, 2008 - September 24, 2008

LPL FINANCIAL LLC

RIA
CRD#: 6413
CHARLOTTE, NC
Past

August 15, 2007 - September 24, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

November 22, 2000 - December 19, 2000

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA
Past

October 16, 1998 - November 30, 1998

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
SAN FRANCISCO, CA
Past

September 17, 1996 - May 15, 1998

FIXED INCOME SECURITIES, INC.

BD
CRD#: 14279
SAN DIEGO, CA
Past

September 23, 1992 - March 1, 1996

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

March 10, 1992 - September 8, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 21, 1987 - December 21, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/14/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/15/2007
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/22/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/1994
General Securities Principal Examination

Current Firm

GP
GREAT PACIFIC SECURITIES
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

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

Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Phone number
(714) 619-3000
Established
California since 09/01/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VINCK, CHRISTOPHER VINCENTPRINCIPAL OPERATING OFFICER2447335
VINCK, CHRISTOPHER VINCENTTRADING2447335
VINCK, CHRISTOPHER VINCENTCEO2447335
VINCK, CHRISTOPHER VINCENTCCO2447335
MORRISSEY, TERENCE LANDRYPRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO5964634

Disclosures

Regulatory Event2

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.

Company Information

GREAT PACIFIC SECURITIES

CRD#: 29251

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