MH
Moiz Husain
THE STRATEGIC FINANCIAL ALLIANCE
Atlanta, GA 30345
Some features on this profile are disabled
CRD#: 2224939
MH
Professional summary
Moiz Husain is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Atlanta, Georgia.
Moiz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Moiz has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Name of business: Actor. Not investment related. Address of business: Lawrenceville, GA. Nature of business: Independent background actor for various TV shows/series and movies. Position: Independent background actor Start date: 01/2022 Approximate number of hours/month you devote to the other business: 10 Hours you devote during securities trading hours: 0 Duties: Independent Background Actor hired on a per day basis for various TV series and movies filmed around Metro Atlanta.
CRS (Client Relationship Summary) - RIA
Click below to view Moiz Husain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Moiz Husain's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 24, 2014 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 2200 Century Parkway Suite 500, Atlanta, GA 30345Office #2: 2200 Century Parkway Suite 500, Atlanta, GA 30345RIA
BD
CRD#: 126514
Atlanta, GA
Current
April 10, 2014 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 2200 Century Parkway Suite 500, Atlanta, GA 30345Office #2: 2200 Century Parkway Suite 500, Atlanta, GA 30345RIA
BD
CRD#: 126514
Atlanta, GA
Past
June 2, 2011 - November 19, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FAIRFIELD, IA
Past
May 24, 2011 - November 19, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
April 12, 2010 - April 13, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
NORCROSS, GA
Past
April 1, 2010 - April 13, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
NORCROSS, GA
Past
July 24, 2007 - May 6, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
August 24, 2006 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
October 12, 2004 - May 6, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
March 4, 2004 - October 11, 2004
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ATLANTA, GA
Past
March 4, 2004 - October 11, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 27, 2002 - February 4, 2004
HARRISDIRECT LLC
RIA
CRD#: 42159
ATLANTA, GA
Past
March 5, 2002 - February 4, 2004
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
September 10, 2001 - February 19, 2002
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
May 19, 2000 - May 2, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
December 14, 1993 - May 1, 2000
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 31, 1992 - September 13, 1993
BROWNCO, LLC
BD
CRD#: 1326
BOSTON, MA
Past
May 7, 1992 - June 18, 1992
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(4/24/2014)
IAR
Georgia(4/24/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 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.
