Asad Ali
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Asad Ali, who also goes by Asad Ali, was a registered financial professional .
Asad is a previously registered financial professional and started their career in finance in 2008. Asad had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - July 29, 2024
TD AMERITRADE, INC.
August 23, 2023 - May 9, 2025
CHARLES SCHWAB & CO., INC.
August 23, 2023 - May 9, 2025
CHARLES SCHWAB & CO., INC.
April 3, 2023 - August 11, 2023
MORGAN STANLEY
June 13, 2018 - August 11, 2023
HARRISDIRECT LLC
June 12, 2018 - August 14, 2023
E*TRADE SECURITIES LLC
July 14, 2014 - May 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 2014 - May 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2011 - June 20, 2014
MSI FINANCIAL SERVICES, INC.
May 4, 2011 - June 17, 2013
MSI FINANCIAL SERVICES, INC.
December 2, 2009 - April 19, 2010
PRUCO SECURITIES, LLC.
May 12, 2009 - April 19, 2010
PRUCO SECURITIES, LLC.
January 18, 2008 - November 7, 2008
FORESTERS FINANCIAL SERVICES, INC.
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 6TO
Date: 8/23/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
