Syed W. Ali
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.
Syed Wajahat Ali, who also goes by Syed W Ali, was a registered financial professional .
Syed is a previously registered financial professional and started their career in finance in 2006. Syed had worked at 4 firms and has passed the Series 63 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
December 9, 2013 - May 1, 2014
KLR GROUP, LLC
June 14, 2010 - March 28, 2012
DAIWA CAPITAL MARKETS AMERICA INC.
September 22, 2008 - August 12, 2009
BARCLAYS CAPITAL INC.
August 30, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
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
KLR GROUP, LLC
CRD#: 165586 / SEC#: , 8-69168
Contact information
Documents
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.
