Ayad K. Alhadi

APOLLO GLOBAL SECURITIES

New York, NY 10019-2701

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CRD#: 2501101

Professional summary

Ayad Kais Alhadi is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Ayad is registered as a RR (Registered Representative) and started their career in finance in 1994. Ayad has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ayad Kais Alhadi'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

April 1, 2011 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701

CRD#: 153502

New York, NY

Past

January 9, 2007 - November 10, 2010

PROFOR ADVISORS

CRD#: 136084

RYE BROOK, NY

Past

October 8, 1997 - September 28, 2006

EIM SECURITIES (USA) INC.

CRD#: 40065

NEW YORK, NY

Past

February 16, 1995 - February 13, 1996

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

January 28, 1995 - February 24, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 7, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

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

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

Connecticut
(1/29/2021)

New York
(4/4/2011)

Virginia
(1/28/2021)

Exams

State Security Law Exam

Series 63

Date: 9/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/9/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

9 West 57th Street, New York, NY 10019-2701

Mailing Address

9 West 57th Street, New York, NY 10019-2701

Phone number

(212) 515-3200

Established

Delaware since 03/11/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Ayad K. Alhadi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ayad Kais Alhadi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFOR ADVISORS

EIM SECURITIES (USA) INC.

H.C.WAINWRIGHT & CO., LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/1994

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 10/9/1996

Series 7

Date: 9/6/1994

Series 24

Date: 3/20/2003

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

TRUST BUT VERIFY

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