HS
Hameem S. Shah
ALLY INVEST ADVISORS
Lewisville, TX 75067
Some features on this profile are disabled
CRD#: 6129326
HS
Professional summary
Hameem Syed Shah is a registered financial advisor currently at ALLY INVEST ADVISORS located in Lewisville, Texas and ALLY INVEST SECURITIES LLC located in Lewisville, Texas.
Hameem is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Hameem has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
C6P Commerce LLC. Not investment related. 12074 N 135th Place Scottsdale, AZ 85259. Owner. 03/28/2016 -07/26/2020. 0/hours month. eCommerce company that was involved in the manufacturing, import, and retail sale of consumer goods. Company is still active in Secretary of State records but is not currently operating. Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Supervisor - Client Services. Dually licensed. 03/05/2022 - Present. 40+hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed or advisory accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Hameem Syed Shah'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
March 8, 2022 - Present
ALLY INVEST ADVISORS
Office #1: 2911 Lake Vista Drive, Lewisville, TX 75067RIA
CRD#: 170301
Lewisville, TX
Current
April 5, 2021 - Present
ALLY INVEST SECURITIES LLC
Office #1: 2911 Lake Vista Drive, Lewisville, TX 75067BD
CRD#: 136131
Lewisville, TX
Past
September 2, 2015 - April 22, 2016
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
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".
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
Registered Investment Advisory firm - (3/27/2014 Approved)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(4/23/2021)
RR
Alaska(4/23/2021)
RR
Arizona(4/23/2021)
IAR
Arizona(5/5/2022)
RR
Arkansas(4/23/2021)
RR
California(4/23/2021)
RR
Colorado(4/23/2021)
RR
Connecticut(4/23/2021)
RR
Delaware(4/23/2021)
RR
District of Columbia(4/23/2021)
RR
Florida(4/23/2021)
RR
Georgia(4/23/2021)
RR
Hawaii(4/23/2021)
RR
Idaho(4/23/2021)
RR
Illinois(4/23/2021)
RR
Indiana(4/23/2021)
RR
Iowa(4/23/2021)
RR
Kansas(4/23/2021)
RR
Kentucky(4/23/2021)
RR
Louisiana(4/23/2021)
RR
Maine(4/23/2021)
RR
Maryland(4/23/2021)
RR
Massachusetts(4/23/2021)
RR
Michigan(4/23/2021)
RR
Minnesota(4/23/2021)
RR
Mississippi(4/23/2021)
RR
Missouri(4/23/2021)
RR
Montana(4/23/2021)
RR
Nebraska(4/23/2021)
RR
Nevada(4/23/2021)
RR
New Hampshire(4/23/2021)
RR
New Jersey(4/23/2021)
RR
New Mexico(4/23/2021)
RR
New York(4/23/2021)
RR
North Carolina(4/23/2021)
RR
North Dakota(4/23/2021)
RR
Ohio(4/23/2021)
RR
Oklahoma(4/23/2021)
RR
Oregon(4/23/2021)
RR
Pennsylvania(4/23/2021)
RR
Puerto Rico(4/23/2021)
RR
Rhode Island(4/23/2021)
RR
South Carolina(4/23/2021)
RR
South Dakota(4/23/2021)
RR
Tennessee(4/23/2021)
RR
Texas(4/16/2021)
IAR
Texas(3/8/2022)
RR
Utah(4/23/2021)
RR
Vermont(4/23/2021)
RR
Virginia(4/23/2021)
RR
Washington(4/23/2021)
RR
West Virginia(4/23/2021)
RR
Wisconsin(4/23/2021)
RR
Wyoming(4/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
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Contact information
Main Address
601 S. Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
Phone number
(855) 880-2559
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
