Atif A. 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.
Atif A Ali was a registered financial professional .
Atif is a previously registered financial professional and started their career in finance in 2012. Atif had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - February 4, 2015
PPHB SECURITIES LP
August 28, 2012 - April 21, 2014
KROLL 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
Current Firm
PPHB SECURITIES LP
CRD#: 132074 / SEC#: , 8-66550
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, RAYMOND LLOYD JR. | LIMITED PARTNER/REGISTERED PRINCIPAL | 4144874 |
| BUCHANAN, JOE BLAKE | LIMITED PARTNER/REGISTERED PRINCIPAL | 5095659 |
| HOEPFL, JOSEPH ALLEN | CHIEF COMPLIANCE OFFICER/LIMITED PARTNER/REGISTERED PRINCIPAL | 2950986 |
| PARKS PATON HOEPFL & BROWN, LLC | GENERAL PARTNER | |
| SCHAPS, MICHAEL ROBERT | FINOP/CFO/PFO/POO | 1892138 |
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.
