Aamir M. Chalisa
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.
Aamir Moiz Chalisa was a registered financial professional .
Aamir is a previously registered financial professional and started their career in finance in 1993. Aamir had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - March 25, 2022
SECURITIES AMERICA, INC.
August 8, 2019 - February 26, 2020
SEQUENT PLANNING, LLC
April 12, 2018 - July 13, 2018
SECURITIES AMERICA, INC.
February 21, 2011 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 23, 2009 - May 12, 2009
NEW ENGLAND SECURITIES
August 1, 2008 - February 2, 2009
NATIONWIDE SECURITIES, LLC
August 15, 2005 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 1, 2005 - August 12, 2005
EQUITABLE ADVISORS, LLC
January 8, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
April 26, 2002 - December 16, 2003
PRUCO SECURITIES, LLC.
August 25, 1993 - May 10, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 25, 1993 - May 10, 2002
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
