Omar James Gaafar
Professional Summary
Omar James Gaafar, who also goes by James Maxwell Gaafar, is a registered financial advisor currently at INSIGHT SECURITIES, INC. located in Highland Park, Illinois. Omar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Omar has worked at 4 firms and has passed the Series 66, Series 57TO, Series 52TO, SIE, Series 55, Series 31, Series 7, Series 14, Series 53, Series 4...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Omar James Gaafar, James Maxwell Gaafar
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
Contact Information
Main Address
600 Central Ave Suite 293, Highland Park, IL 60035Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035Phone Number
(224) 632-4700Established
Delaware since 11/12/1970Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
25SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
12AUM (Assets Under Management)
$4,370,000Disclosures
Regulatory Event
6Arbitration
1Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2015SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Omar James Gaafar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Omar James Gaafar's CRS (Customer Relationship Summary).
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