Rola K. Ismail
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.
Rola Kamal Ismail, who also goes by Rola El-buaini, was a registered financial professional .
Rola is a previously registered financial professional and started their career in finance in 2002. Rola had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2017 - August 18, 2025
MISSIONSQUARE RETIREMENT
December 15, 2016 - August 18, 2025
MISSIONSQUARE INVESTMENT SERVICES
June 13, 2006 - November 15, 2016
MUTUAL OF AMERICA SECURITIES LLC
June 13, 2006 - November 15, 2016
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
November 12, 2004 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 2004 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2002 - January 12, 2004
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
