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RY

Rana Yared

CAPITALA SECURITIES
Charlotte, NC 28209-4636
Some features on this profile are disabled
CRD#: 5189808
RY

Professional summary

Rana Yared is a registered financial professional currently at CAPITALA SECURITIES, LLC located in Charlotte, North Carolina.

Rana is registered as a RR (Registered Representative) and started their career in finance in 2006. Rana has worked at 2 firms and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Rana Yared'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®
None

Experience

Current

June 9, 2022 - Present

CAPITALA SECURITIES, LLC

Office #1: 4201 Congress Street Suite 360c, Charlotte, NC 28209-4636
BD
CRD#: 304095
Charlotte, NC
Past

September 6, 2006 - April 28, 2020

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 11/22/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/3/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPITALA SECURITIES, LLC
CAPITALA SECURITIES, LLC

CRD#: 304095 / SEC#: , 8-70342

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Mailing Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Phone number
(704) 790-1666
Established
Delaware since 06/29/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITALA SECURITIES HOLDING CORP.OWNER AND SOLE MEMBER
ALALA, CHRISTINE LEVETTPRESIDENT5723934
COSIO, ROMMELCHIEF COMPLIANCE OFFICER2017788
THORNTON, STEVEN LEEFINOP, CFO4496384

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.

Company Information

CAPITALA SECURITIES, LLC

CRD#: 304095Charlotte, NC 28209-4636

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