AN
Ather Naqi
ALLY INVEST ADVISORS
Lewisville, TX 75067
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CRD#: 6680942
AN
Professional summary
Ather Naqi is a registered financial advisor currently at ALLY INVEST ADVISORS located in Lewisville, Texas and ALLY INVEST SECURITIES LLC located in Lewisville, Texas.
Ather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Ather has worked at 7 firms and has passed the Series 66, SIE and Series 7 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.
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Associate Specialist - Invest Services. Dually licensed. 10/01/2021. 0-20hrs/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. Home River Group. Non-Investment Related. 8124 Ambiance Way, Plano TX 75024. Co-owner. 01/01/2015. 0 hrs/month. Own 3 condos/Rental Properties managed by Home River Group Dallas Cricket League. Non-Investment Related. 2300 Coit Rod Plano TX 75075. Umpire. 01/01/2016. 30 hrs/month. Umpiring Cricket Games on weekends/off time and days North Texas Cricket Association. Non-Investment Related. 8766 Vavidat Ct. Irving TX 75963. Umpire. 01/01/2021. 20 hrs/month. Umpiring Cricket Games on weekends/off time and days
CRS (Client Relationship Summary) - RIA
Click below to view Ather Naqi'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
October 7, 2021 - Present
ALLY INVEST ADVISORS
Office #1: 2911 Lake Vista Dr, Lewisville, TX 75067RIA
CRD#: 170301
Lewisville, TX
Current
September 25, 2020 - Present
ALLY INVEST SECURITIES LLC
Office #1: 2911 Lake Vista Drive, Lewisville, TX 75067BD
CRD#: 136131
Lewisville, TX
Past
June 8, 2020 - June 12, 2020
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
ADDISON, TX
Past
October 16, 2019 - June 12, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
ADDISON, TX
Past
October 16, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ADDISON, TX
Past
April 12, 2019 - August 15, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Plano, TX
Past
April 8, 2019 - August 15, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Plano, TX
Past
April 14, 2017 - November 15, 2018
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Plano, TX
Past
December 20, 2016 - November 15, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
IRVING, TX
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(9/25/2020)
RR
Alaska(9/25/2020)
RR
Arizona(9/25/2020)
RR
Arkansas(9/25/2020)
RR
California(9/25/2020)
RR
Colorado(9/25/2020)
RR
Connecticut(9/25/2020)
RR
Delaware(9/25/2020)
RR
District of Columbia(9/25/2020)
RR
Florida(9/25/2020)
RR
Georgia(9/25/2020)
RR
Hawaii(9/25/2020)
RR
Idaho(9/25/2020)
RR
Illinois(9/25/2020)
RR
Indiana(9/25/2020)
RR
Iowa(9/25/2020)
RR
Kansas(9/25/2020)
RR
Kentucky(9/25/2020)
RR
Louisiana(9/25/2020)
RR
Maine(9/25/2020)
RR
Maryland(9/25/2020)
RR
Massachusetts(9/25/2020)
RR
Michigan(9/25/2020)
RR
Minnesota(9/25/2020)
RR
Mississippi(9/25/2020)
RR
Missouri(9/25/2020)
RR
Montana(9/25/2020)
RR
Nebraska(9/25/2020)
RR
Nevada(9/25/2020)
RR
New Hampshire(9/25/2020)
RR
New Jersey(9/25/2020)
RR
New Mexico(9/25/2020)
RR
New York(9/25/2020)
RR
North Carolina(9/25/2020)
RR
North Dakota(9/25/2020)
RR
Ohio(9/27/2020)
RR
Oklahoma(9/25/2020)
RR
Oregon(9/25/2020)
RR
Pennsylvania(9/25/2020)
RR
Puerto Rico(9/25/2020)
RR
Rhode Island(9/25/2020)
RR
South Carolina(9/25/2020)
RR
South Dakota(9/25/2020)
RR
Tennessee(9/25/2020)
RR
Texas(9/25/2020)
IAR
Texas(10/7/2021)
RR
Utah(9/25/2020)
RR
Vermont(9/25/2020)
RR
Virginia(9/25/2020)
RR
Washington(9/25/2020)
RR
West Virginia(9/25/2020)
RR
Wisconsin(9/25/2020)
RR
Wyoming(9/25/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (3/27/2014 Approved)Upgrade to AdvisorCheck Premium
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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.
