AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AR

Ali M. Rais

Some features on this profile are disabled
CRD#: 7399614
AR

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.

Ali M Rais, who also goes by Ali Muhammad Rais, Ali Rais, was a registered financial professional .

Ali is a previously registered financial professional and started their career in finance in 2021. Ali had worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ali Muhammad Rais | Ali Rais

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 29, 2022 - August 29, 2023

AW SECURITIES

BD
CRD#: 103747
FOLSOM, CA
Past

July 12, 2021 - August 20, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/12/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/29/2021
Securities Industry Essentials Examination

Current Firm

AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN

CRD#: 103747 / SEC#: 801-69038, 8-52250

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
10

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

NamePositionCRD#
ALLWORTH FINANCIAL GROUP, L.P.GENERAL PARTNER
BEATON, DANIEL STEWARTFINOP4240769
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER - BD2366022
GAMBLE, COREY CCHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO4919573
GREENBERG, BARRY YALECHIEF LEGAL COUNSEL5863733
GRIGSBY, GARY LAWSONCEO3167632
TAYLOR, KRISTIAN LEIGHVICE PRESIDENT- OPERATIONS4163800

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.

Company Information

AW SECURITIES

CRD#: 103747

TRUST BUT VERIFY

Monitor Ali Rais

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics