Ali Kaya
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.
Ali Kaya was a registered financial professional .
Ali is a previously registered financial professional and started their career in finance in 2000. Ali had worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - December 5, 2012
WTS PROPRIETARY TRADING GROUP LLC
June 9, 2009 - January 8, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
June 9, 2008 - January 27, 2009
DIMENSION BROKERAGE, LLC
March 4, 2005 - August 16, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
September 22, 2003 - March 31, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
September 13, 2000 - March 21, 2003
WORLDCO, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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