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AH

Ahmos Shawky Hassan

CRD# 1741546·Registered 1987 - 2018
Previously Registered: Being a previously registered professional could mean that Ahmos 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.

Professional Summary

Ahmos Shawky Hassan was a registered financial advisor. Ahmos was a previously registered financial professional and started their career in finance 1987 - 2018. Ahmos had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

LICCAR SECURITIES, LLC·CRD# 151034
BD
Chicago, IL
March 4, 2015 - February 16, 2018
CONVERGENT WEALTH ADVISORS, LLC·CRD# 143719
RIA
Los Angeles, CA
June 1, 2012 - January 9, 2013
RBC SECURITIES, INC·CRD# 103705
BD
Los Angeles, CA
May 28, 2012 - January 9, 2013
CHARIOT ASSET MANAGEMENT, INC.·CRD# 133055
RIA
Los Angeles, CA
April 21, 2005 - December 13, 2011
ELECTRONIC TRADING GROUP, LLC·CRD# 37453
BD
New York, NY
July 9, 2004 - November 22, 2005
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.·CRD# 34902
BD
Leawood, KS
July 14, 1997 - July 25, 2002
SUNPOINT SECURITIES, INC.·CRD# 25442
BD
Longview, TX
July 8, 1996 - December 12, 1996
SECURITIES AMERICA, INC.·CRD# 10205
BD
Lavista, NE
August 7, 1989 - June 25, 1996
ASHLEY SECURITIES CORPORATION·CRD# 15582
BD
September 24, 1987 - May 9, 1988

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Current Firm

LS
LICCAR SECURITIES, LLC

CAPITAL SECURITIES, LLC | LICCAR SECURITIES, LLC | LICCAR SECURITIES & CUSTODIAL SERVICES, LLC | HEDGEACT SECURITIES, LLC | HEDGEACT SECURITIES

CRD#: 151034 / SEC#: 8-68329
BD
Terminated by SEC on 04/17/2018

Contact Information

Established

Illinois since 05/13/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL SECURITIES, LLCSHAREHOLDER—
ALVAREZ, KAREN LOUFINANCIAL OPERATIONS PRINCIPAL4044938
MITTERLING, RANDALL LEEMANAGING MEMBER, CHIEF COMPLIANCE OFFICER5672165

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2012About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2004About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2012About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Aug 1989About the Series 3 exam

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CRS (Client Relationship Summary)

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

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