Omar Ali
Professional summary
Omar Ali, who also goes by Omar M Ali, Omar Ali, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
Omar is registered as a RR (Registered Representative) and started their career in finance in 2014. Omar has worked at 9 firms and has passed the Series 99TO, Series 7TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Omar Ali's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2025 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017April 15, 2024 - June 30, 2024
WEDBUSH SECURITIES INC.
January 10, 2022 - March 22, 2024
ROBINHOOD SECURITIES, LLC
November 23, 2021 - March 22, 2024
ROBINHOOD FINANCIAL, LLC
August 2, 2018 - October 8, 2020
RAYMOND JAMES & ASSOCIATES, INC.
March 15, 2017 - July 30, 2018
INSTINET, LLC
March 13, 2015 - March 3, 2017
UBS SECURITIES LLC
November 3, 2014 - February 24, 2015
E*TRADE CLEARING LLC
November 1, 2014 - February 24, 2015
E*TRADE SECURITIES LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/12/2020
General Securities Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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