Alimohammed Agboatwalla
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.
Alimohammed Agboatwalla, who also goes by Ali M Agboatwalla, Ali Agboatwalla, Alimohammed Mushtaq Agboatwalla, Alimohammed M Agboatwalla, was a registered financial professional .
Alimohammed is a previously registered financial professional and started their career in finance in 1996. Alimohammed had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2025 - January 26, 2026
WILLIAM O'NEIL SECURITIES
January 30, 2024 - August 29, 2025
SEAPORT GLOBAL SECURITIES LLC
September 5, 2022 - October 27, 2023
MAXIM GROUP LLC
September 1, 2020 - June 1, 2022
MIZUHO SECURITIES USA LLC
January 17, 2020 - August 4, 2020
IMPERIAL CAPITAL, LLC
June 21, 2019 - January 16, 2020
OLD CITY SECURITIES LLC
March 23, 2012 - July 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2011 - December 16, 2011
RBC CAPITAL MARKETS, LLC
April 13, 2009 - September 1, 2010
TD ARRANGED SERVICES LLC
May 19, 2000 - April 15, 2009
MORGAN STANLEY & CO. LLC
October 1, 1998 - January 5, 1999
BANC OF AMERICA SECURITIES LLC
April 29, 1996 - October 1, 1998
BANCAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/22/2002
Limited Representative-Equity Trader ExamCurrent Firm
WILLIAM O'NEIL SECURITIES
CRD#: 894 / SEC#: , 8-11763
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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