Waqar M. Syed

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CRD#: 2558475

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.

Waqar Mustafa Syed was a registered financial professional .

Waqar is a previously registered financial professional and started their career in finance in 1997. Waqar had worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 86, 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)

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

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

Past

January 15, 2019 - October 1, 2025

ATB CAPITAL MARKETS USA INC.

CRD#: 155053

Rye, NY

Past

September 29, 2011 - December 21, 2018

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

August 31, 2009 - July 8, 2011

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

DENVER, CO

Past

February 26, 2008 - August 31, 2009

TRISTONE CAPITAL CO.

CRD#: 145124

DENVER, CO

Past

January 11, 2007 - April 1, 2008

TRISTONE CAPITAL (U.S.A.) INC.

CRD#: 119223

DENVER, CO

Past

July 30, 2002 - December 19, 2006

ML PETRIE PARKMAN CO., INC.

CRD#: 25894

DENVER, CO

Past

May 1, 2001 - March 22, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 17, 1997 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

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".

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/18/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 3/9/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 6/16/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/4/2011

General Securities Principal Examination

Current Firm

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

#410 585 8th Avenue Sw, Calgary, Alberta, T2P 1G1

Mailing Address

#410 585 8th Avenue Sw, Calgary, T2P 1G1

Phone number

(403) 593-8600

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

RESEARCH SERVICES (6/11/2025)

Direct owners and executive officers

Name	Position	CRD#
ATB SECURITIES, INC.	SHAREHOLDER
EDWARDS, LISA MARIE	CHIEF COMPLIANCE OFFICER	5592656
EURICH, DARREN LEE	EXECUTIVE REPRESENTATIVE, CEO, MEMBER OF BOARD OF DIRECTORS	7323470
PECK, NANCY LYNN	FINOP/CFO	5174759

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.

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Firm Stability Insights

Waqar M. Syed

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

MACQUARIE CAPITAL (USA) INC.

TRISTONE CAPITAL CO.

TRISTONE CAPITAL (U.S.A.) INC.

ML PETRIE PARKMAN CO., INC.

J.P. MORGAN SECURITIES INC.

JPMSI

Primary Firm SEC Registration

ATB CAPITAL MARKETS USA INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/1997

SIE

Date: 10/1/2018

Series 87

Date: 3/18/2005

Series 86

Date: 3/9/2005

Series 7

Date: 6/16/1997

Series 24

Date: 3/4/2011

Current Firm

ATB CAPITAL MARKETS USA INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

ATB CAPITAL MARKETS USA INC.

TRUST BUT VERIFY

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