Omar Mims
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.
Omar Mims, who also goes by Omar Mims, Omar Erastas Mims, was a registered financial professional .
Omar is a previously registered financial professional and started their career in finance in 2016. Omar had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2022 - April 22, 2026
ALLY INVEST ADVISORS
August 3, 2021 - April 22, 2026
ALLY INVEST SECURITIES LLC
June 4, 2020 - February 3, 2021
ALIGHT FINANCIAL SOLUTIONS, LLC
May 5, 2020 - October 29, 2021
ALIGHT FINANCIAL ADVISORS, LLC
December 1, 2016 - October 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2016 - October 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
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
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 79,536 |
| AUM (Assets Under Management) | $ 1,726,325,664 |
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.
