Ali B. Mahlooji

PHX FINANCIAL

Red Bank, NJ 07701

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CRD#: 4830105

Professional summary

Ali Barry Mahlooji is a registered financial professional currently at PHX FINANCIAL, INC. located in Red Bank, New Jersey.

Ali is registered as a RR (Registered Representative) and started their career in finance in 2005. Ali has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Ali Barry Mahlooji'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

December 16, 2019 - Present

PHX FINANCIAL, INC.

Office #1: 280 Highway 35, Red Bank, NJ 07701Office #2: 100 Wall Street Floor 10, New York, NY 10005

CRD#: 144403

Red Bank, NJ

Past

November 20, 2012 - December 17, 2019

NATIONAL SECURITIES CORPORATION

CRD#: 7569

JERSEY CITY, NJ

Past

October 29, 2010 - November 20, 2012

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

RED BANK, NJ

Past

July 22, 2010 - October 21, 2010

EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007

NEW YORK, NY

Past

October 20, 2009 - July 23, 2010

BROOKSTONE SECURITIES, INC.

CRD#: 13366

STATEN ISLAND, NY

Past

July 16, 2009 - November 2, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

STATEN ISLAND, NY

Past

April 13, 2006 - July 22, 2009

NATIONAL SECURITIES CORPORATION

CRD#: 7569

ISELIN, NJ

Past

December 12, 2005 - May 3, 2006

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/23/2019)

Alaska
(2/14/2020)

Arizona
(12/17/2019)

Arkansas
(4/12/2021)

California
(12/17/2019)

Colorado
(12/19/2019)

Connecticut
(1/7/2020)

Delaware
(1/13/2023)

District of Columbia
(3/6/2020)

Florida
(12/23/2019)

Georgia
(12/23/2019)

Hawaii
(2/13/2020)

Idaho
(4/27/2021)

Illinois
(12/26/2019)

Indiana
(12/18/2019)

Iowa
(12/19/2019)

Kansas
(12/18/2019)

Kentucky
(1/21/2020)

Louisiana
(1/15/2020)

Maryland
(1/8/2020)

Massachusetts
(12/23/2019)

Michigan
(12/19/2019)

Minnesota
(12/18/2019)

Mississippi
(1/6/2020)

Missouri
(12/19/2019)

Nebraska
(12/18/2019)

Nevada
(3/11/2020)

New Hampshire
(1/17/2020)

New Jersey
(12/17/2019)

New Mexico
(7/17/2025)

New York
(12/17/2019)

North Carolina
(12/18/2019)

North Dakota
(10/11/2021)

Ohio
(12/17/2019)

Oklahoma
(4/16/2021)

Oregon
(1/7/2020)

Pennsylvania
(12/18/2019)

Puerto Rico
(4/27/2021)

Rhode Island
(2/14/2020)

South Carolina
(12/23/2019)

South Dakota
(12/26/2019)

Tennessee
(6/9/2023)

Texas
(12/18/2019)

Utah
(1/8/2020)

Vermont
(4/20/2021)

Virginia
(1/3/2020)

Washington
(12/26/2019)

West Virginia
(1/9/2020)

Wisconsin
(12/20/2019)

Wyoming
(1/7/2020)

Exams

State Security Law Exam

Series 63

Date: 5/30/2006

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: 12/9/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

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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Ali B. Mahlooji

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ali Barry Mahlooji's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

NEWBRIDGE SECURITIES CORPORATION

EMPIRE ASSET MANAGEMENT COMPANY

BROOKSTONE SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

NATIONAL SECURITIES CORPORATION

AURA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2005

Series 24

Date: 3/27/2025

FINRA

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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