Nasser Ali

OSAIC WEALTH

HUNT VALLEY, MD 21030

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CRD#: 2637987

Professional summary

Nasser Ali, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Hunt Valley, Maryland.

Nasser is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Nasser has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 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.

1) THE GOLDHIRSH SURVIVOR'S TRUST, 307 INTERNATIONAL CIR, STE 390, HUNT VALLEY MD CATEGORY: FIDUCIARY NON-IMMEDIATE FAMILY MEMBER INVESTMENT RELATED: YES TITLE: INVESTMENT TRUSTEE DUTIES: ACT AS INVESTMENT TRUSTEE. THIS ROLE IS LIMITED TO MAKING INVESTMENT DECISIONS ONLY. START DATE: 05/2024 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 1 2) THE GOLDHIRSH MARITAL TRUST 307 INTERNATIONAL CIR, STE 390, HUNT VALLEY MD CATEGORY: FIDUCIARY NON-IMMEDIATE FAMILY MEMBER INVESTMENT RELATED: YES TITLE: INVESTMENT TRUSTEE DUTIES: ACT AS INVESTMENT TRUSTEE. THIS ROLE IS LIMITED TO MAKING INVESTMENT DECISIONS ONLY. START DATE: 05/2024 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 1 3) HERITAGE FINANCIAL CONSULTANTS POSITION: Director of Investment Management NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2019 ADDRESS: 307 International Cir, Suite 390, Hunt Valley MD 21030, United States DESCRIPTION: Oversee the investment due diligence, portfolio development, econometric modeling, market/economic client communications, 4) HERITAGE FINANCIAL CONSULTANTS POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2019 ADDRESS: 301 International Cir., Suite 390, Hunt Valley MD 21030, United States DESCRIPTION: Heritage Financial Consultants is the producer group I'm a part of. Heritage pays us (financial advisors) a pro-rata grid of the revenues received from Osaic.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nasser Ali's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nasser 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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 307 International Circle Suite 390, Hunt Valley, MD 21030

RIA

CRD#: 23131

HUNT VALLEY, MD

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 307 International Circle Suite 390, Hunt Valley, MD 21030

RIA

CRD#: 23131

HUNT VALLEY, MD

Past

January 11, 2013 - October 22, 2020

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 3, 2002 - January 24, 2025

OSAIC FA, INC.

RIA

CRD#: 3978

HUNT VALLEY, MD

Past

April 26, 2002 - June 8, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

LUTHERVILLE, MD

Past

April 26, 2002 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

HUNT VALLEY, MD

Past

August 24, 2000 - April 5, 2002

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BALTIMORE, MD

Past

November 15, 1999 - April 5, 2002

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

March 15, 1999 - December 1, 1999

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

Past

July 16, 1997 - March 22, 1999

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

November 9, 1995 - July 16, 1997

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(1/24/2025)

California
(1/24/2025)

Colorado
(1/24/2025)

Connecticut
(1/24/2025)

Delaware
(1/24/2025)

District of Columbia
(1/24/2025)

Florida
(1/24/2025)

Indiana
(1/24/2025)

Kentucky
(1/24/2025)

Maryland
(1/24/2025)

IAR

Maryland
(1/24/2025)

Massachusetts
(1/24/2025)

Michigan
(1/24/2025)

New Jersey
(1/24/2025)

New York
(1/24/2025)

Ohio
(1/24/2025)

Pennsylvania
(1/24/2025)

South Carolina
(1/24/2025)

Texas
(1/24/2025)

IAR

Texas
(1/24/2025)

Virginia
(1/24/2025)

Washington
(1/24/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/7/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/25/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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

Nasser Ali

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nasser Ali's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nasser Ali's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FS, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

CALVERT INVESTMENT DISTRIBUTORS, INC.

THE ADVISORS GROUP, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/7/2006

Series 65

Date: 3/25/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/8/1995

Series 24

Date: 4/9/2001

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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