Antoine N. Souma

GALLIOTT CAPITAL ADVISORS

BEVERLY HILLS, CA 90212

CRD#: 4210987

Some features on this profile are disabled

Professional summary

Antoine Nabih Souma was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Antoine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Prior to being barred, Antoine has worked at 7 firms, which includes GALLIOTT CAPITAL ADVISORS LLC, INSIGNEO ADVISORY SERVICES LLC, INSIGNEO SECURITIES LLC, MORGAN STANLEY, J.P. MORGAN SECURITIES LLC, DEUTSCHE BANK SECURITIES INC., UBS FINANCIAL SERVICES INC..

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Antoine Nabih Souma'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

February 22, 2022 - Present

GALLIOTT CAPITAL ADVISORS, LLC

Office #1: 9401 Wilshire Blvd. Ste 705, Beverly Hills, CA 90212

RIA

CRD#: 313094

BEVERLY HILLS, CA

Past

April 5, 2021 - December 10, 2021

GALLIOTT CAPITAL ADVISORS, LLC

RIA

CRD#: 8174

BEVERLY HILLS, CA

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".

GALLIOTT CAPITAL ADVISORS, LLC

CRD#: 313094 / SEC#: 801-120725

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

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
(2/22/2022)

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

IAR

Series 65

Date: 1/23/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/2000

General Securities Representative Examination

Current Firm

GALLIOTT CAPITAL ADVISORS, LLC

CRD#: 313094 / SEC#: 801-120725

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9401 Wilshire Blvd. Ste 705, Beverly Hills, CA 90212

Mailing Address

Phone number

(310) 362-3320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	304
AUM (Assets Under Management)	$ 261,932,486

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/29/2023	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.

Similar Advisors

Tara Unverzagt

SOUTH BAY FINANCIAL PARTNERS

IAR

TORRANCE, CA

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Antoine N. Souma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Antoine Nabih Souma's CRS (Customer Relationship Summary).

Certified licenses

Experience

GALLIOTT CAPITAL ADVISORS, LLC

INSIGNEO ADVISORY SERVICES, LLC

INSIGNEO SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GALLIOTT CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/2001

Series 63

Date: 10/11/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/18/2000

Current Firm

GALLIOTT CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GALLIOTT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors