OG
Omar J. Gaafar
INSIGHT SECURITIES
Highland Park, IL 60035
Some features on this profile are disabled
CRD#: 4916775
OG
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 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Maxwell Gaafar
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.
I am VP of Precise Insurance Group from 2/2019 . Insight Insurance group is a sister company of my employer, Insight Securities. I receive no extra compensation from this position. I devote approx. 4 hours per month to this activity during trading hours. This business is located at 600 Central Ave, Highland Park, IL. Precise Insurance deals with non securities related insurance. In my role, I review insurance applications. Precise Investment Management, 600 Central Ave, Suite 293, Highland Park, IL 60035, investment related, is a US registered RIA, working in the back office as administrative staff, starting in November 2023, working 2-3hrs a month. Wisenose, is not investment related, 93 Cambridge Dr., Grayslake, IL 60030, is a company focused on producing children based content on social media, wil be acting as the sole member and manager of the company, starting in February, 2024, working 5 hrs per month.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 23, 2014 - Present
INSIGHT SECURITIES, INC.
Office #1: 600 Central Ave Suite 293, Highland Park, IL 60035Office #2: 600 Central Ave. Suite 293, Highland Park, IL 60035Office #3: 600 Central Ave. Suite 293, Highland Park, IL 60035RIA
BD
CRD#: 5611
Highland Park, IL
Current
September 23, 2014 - Present
INSIGHT SECURITIES, INC.
Office #1: 600 Central Ave Suite 293, Highland Park, IL 60035Office #2: 600 Central Ave. Suite 293, Highland Park, IL 60035Office #3: 600 Central Ave Suite 293, Highland Park, IL 60035RIA
BD
CRD#: 5611
Highland Park, IL
Past
June 18, 2019 - December 12, 2019
ABRAHAM SECURITIES CORPORATION
BD
CRD#: 13498
GIG HARBOR, WA
Past
November 16, 2007 - September 26, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOMBARD, IL
Past
October 25, 2007 - September 26, 2014
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOMBARD, IL
Past
April 14, 2005 - August 9, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SANTA FE, NM
Past
March 25, 2005 - August 9, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SANTA FE, NM
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INSIGHT SECURITIES, INC.
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
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Alabama(1/8/2015)
RR
Alaska(1/8/2015)
RR
Arizona(1/8/2015)
RR
Arkansas(1/8/2015)
RR
California(1/8/2015)
RR
Colorado(1/8/2015)
RR
Connecticut(1/8/2015)
RR
Delaware(1/8/2015)
RR
District of Columbia(1/8/2015)
RR
Florida(1/8/2015)
RR
Georgia(1/8/2015)
RR
Hawaii(1/8/2015)
RR
Idaho(1/8/2015)
RR
Illinois(9/23/2014)
IAR
Illinois(9/23/2014)
RR
Indiana(1/8/2015)
RR
Iowa(1/8/2015)
RR
Kansas(1/8/2015)
RR
Kentucky(1/8/2015)
RR
Louisiana(1/8/2015)
RR
Maine(1/8/2015)
RR
Maryland(1/8/2015)
RR
Massachusetts(1/8/2015)
RR
Michigan(1/8/2015)
RR
Minnesota(1/8/2015)
RR
Mississippi(1/8/2015)
RR
Missouri(1/8/2015)
RR
Montana(1/8/2015)
RR
Nebraska(1/8/2015)
RR
Nevada(1/8/2015)
RR
New Hampshire(1/8/2015)
RR
New Jersey(1/8/2015)
RR
New Mexico(1/8/2015)
RR
New York(1/8/2015)
RR
North Carolina(1/9/2015)
RR
North Dakota(1/8/2015)
RR
Ohio(1/8/2015)
RR
Oklahoma(1/8/2015)
RR
Oregon(1/8/2015)
RR
Pennsylvania(1/8/2015)
RR
Rhode Island(1/8/2015)
RR
South Carolina(1/8/2015)
RR
South Dakota(1/8/2015)
RR
Tennessee(1/8/2015)
RR
Texas(1/8/2015)
RR
Utah(1/8/2015)
RR
Vermont(1/8/2015)
RR
Virginia(1/8/2015)
RR
Washington(1/8/2015)
RR
West Virginia(1/8/2015)
RR
Wisconsin(1/8/2015)
RR
Wyoming(1/8/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/1/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INSIGHT SECURITIES, INC.
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
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
600 Central Ave Suite 293, Highland Park, IL 60035
Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035
Phone number
(224) 632-4700
Established
Delaware since 11/12/1970
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
25
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
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.
