Norman A. Wahab

QUID CAPITAL

Los Angeles, CA

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CRD#: 2591119

Professional summary

Norman Arif Wahab, who also goes by Norm Wahab, Norman A Wahab, Norman Arif Wahab, is a registered financial advisor currently at QUID CAPITAL located in Los Angeles, California.

Norman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Norman has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Norm Wahab | Norman A Wahab | Norman Arif Wahab

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) - RIA

Click below to view Norman Arif Wahab'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®

None

Experience

Current

February 3, 2023 - Present

QUID CAPITAL

RIA

CRD#: 307242

Los Angeles, CA

Past

February 16, 2021 - May 20, 2021

QUID CAPITAL

RIA

CRD#: 307242

LOS ANGELES, CA

Past

January 1, 2015 - May 14, 2019

TETRAD CAPITAL LLC

RIA

CRD#: 160168

LOS ANGELES, CA

Past

June 19, 2013 - October 6, 2014

FISHER INVESTMENTS

RIA

CRD#: 107342

LOS ANGELES, CA

Past

January 17, 2012 - June 26, 2013

TETRAD CAPITAL LLC

RIA

CRD#: 119171

LOS ANGELES, CA

Past

July 18, 2007 - September 24, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

BEVERLY HILLS, CA

Past

July 18, 2007 - September 24, 2007

LPL FINANCIAL LLC

CRD#: 6413

BEVERLY HILLS, CA

Past

November 27, 2003 - October 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 13, 2003 - October 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOS ANGELES, CA

Past

July 15, 2002 - August 22, 2011

TETRAD CAPITAL LLC

RIA

CRD#: 119171

LOS ANGELES, CA

Past

October 4, 2001 - December 18, 2001

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

May 6, 1999 - August 22, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 27, 1997 - April 1, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 18, 1997 - December 8, 1997

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

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.

Highlighted states indicate IAR registrations

IAR

California
(2/3/2023)

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: 2/21/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/12/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/15/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1997

General Securities Representative Examination

Current Firm

QUID CAPITAL

QUID CAPITAL | QUID CAPITAL LLC

CRD#: 307242 / SEC#: 802-121554

RIA

Registered Investment Advisory firm - (5/20/2021 Terminated)

California

Registered Investment Advisory firm - (2/3/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

811 W. 7th St. 12th Fl, Los Angeles, CA 90017

Mailing Address

Phone number

(310) 990-2938

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	1/6/2023
California	ERA - Withdrawn	12/9/2020
Texas	ERA - Withdrawn	1/6/2021

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

Norman A. Wahab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Arif Wahab's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUID CAPITAL

TETRAD CAPITAL LLC

FISHER INVESTMENTS

TETRAD CAPITAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TETRAD CAPITAL LLC

CONSECO SECURITIES, INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

CONSECO EQUITY SALES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/2023

Series 65

Date: 11/12/1997

SIE

Date: 9/15/2022

Series 7

Date: 4/17/1997

Current Firm

QUID CAPITAL

Contact information

Documents

Exempt reporting advisers

Red Flags

Company Information

QUID CAPITAL

TRUST BUT VERIFY

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