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AA

Allen A. Ali

MCP SECURITIES
Port Washington, NY
Some features on this profile are disabled
CRD#: 2432813
AA

Professional summary

Allen Asad Syed Ali, who also goes by Allen Ali, is a registered financial professional currently at MCP SECURITIES, LLC located in Port Washington, New York.

Allen is registered as a RR (Registered Representative) and started their career in finance in 2010. Allen has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allen 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) - BD

Click below to view Allen Asad Syed Ali's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 22, 2017 - Present

MCP SECURITIES, LLC

BD
CRD#: 152669
Port Washington, NY
Past

September 30, 2015 - December 22, 2015

V2V SECURITIES LLC

BD
CRD#: 131849
New York, NY
Past

July 15, 2010 - December 4, 2013

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL

State Registrations and Notice Filings

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

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
Illinois
(8/22/2017)
RR
New York
(8/22/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/22/1993
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MCP SECURITIES, LLC
COGNIENT SECURITIES, LLC | VALOREM ESTATE INVESTMENTS, LLC | MCP SECURITIES, LLC

CRD#: 152669 / SEC#: , 8-68473

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
76 Ivy Way, Port Washington, NY 11050
Mailing Address
76 Ivy Way, Port Washington, NY 11050
Phone number
(646) 380-4470
Established
Delaware since 12/11/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCCARVILL CAPITAL PARTNERS, LLCSOLE MEMBER
FIALA, ANGELA MARIAFINOP, POO, PFO5163386
MCCARVILL, JAMES JOHNCEO, CHIEF COMPLIANCE OFFICER2356333

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

MCP SECURITIES, LLC

CRD#: 152669Port Washington, NY

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