Rafay Z. Khalid

SOLOMON AND ASSOCIATES LLC

Irvine, CA

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CRD#: 4384831

Professional summary

Rafay Z Khalid, CFA is a registered financial advisor currently at SOLOMON AND ASSOCIATES LLC located in Irvine, California.

Rafay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Rafay has worked at 5 firms and has passed the Series 66, Series 87 and Series 7 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.

GCS Risk Management, 1140 Avenue of the Americas 9th Floor New York, NY 10036, Senior Industry Analyst Effective 11/2012, 160 hours per month, 130/hours during market hours, Write Proprietary Risk Reports Not Investment Related TR Marine Florida LLC, 1325 NE 25th Ave, Pompano Beach, FL 33062, Accounting/Bookkeeping LLC Member 07/2021 start date to Present 1 hours per month 0 hours during securities trading hours Not investment related AIC-Insure America LLC, 725 NW Kingwood Redmond, OR 97756, Insurance Agency LLC Member 10/2021 start date to Present 1 hours per month 0 hours during securities trading hours Not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafay Z Khalid'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®

CFA

Chartered Financial Analyst

Experience

Current

August 9, 2021 - Present

SOLOMON AND ASSOCIATES LLC

RIA

CRD#: 311975

Irvine, CA

Past

February 12, 2007 - January 18, 2008

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

SAN FRANCISCO, CA

Past

September 24, 2004 - February 13, 2007

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

March 9, 2004 - October 9, 2004

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

April 16, 2001 - February 27, 2004

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

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
(8/30/2021)

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 66

Date: 12/14/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 87

Date: 3/7/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 4/12/2001

General Securities Representative Examination

Current Firm

SOLOMON AND ASSOCIATES LLC

SOLOMON AND ASSOCIATES | SOLOMON AND ASSOCIATES, LLC | SOLOMON AND ASSOCIATES LLC | SOLOMON AND ASSOCIATES INVESTMENT ADVISORS

CRD#: 311975 / SEC#:

California

Registered Investment Advisory firm - (8/30/2021 Approved)

Oregon

Registered Investment Advisory firm - (6/6/2025 Terminated)

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

Irvine, CA

Mailing Address

Phone number

(541) 362-1624

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 10,783,406

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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Rafay Z. Khalid

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafay Z Khalid's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOLOMON AND ASSOCIATES LLC

GLEACHER & COMPANY SECURITIES, INC.

ROTH CAPITAL PARTNERS, LLC

W.R. HAMBRECHT + CO., LLC

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2003

Series 87

Date: 3/7/2005

Series 7

Date: 4/12/2001

Current Firm

SOLOMON AND ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOLOMON AND ASSOCIATES LLC

TRUST BUT VERIFY

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