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Ali H. Farooqi

BOSTON PARTNERS SECURITIES, L.L.C.
Boston, MA 02108
Some features on this profile are disabled
CRD#: 7625152
AF

Professional summary

Ali Hussain Farooqi is a registered financial professional currently at BOSTON PARTNERS SECURITIES, L.L.C. located in Boston, Massachusetts.

Ali is registered as a RR (Registered Representative) and started their career in finance in 2023. Ali has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ali Hussain Farooqi's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 22, 2023 - Present

BOSTON PARTNERS SECURITIES, L.L.C.

Office #1: One Beacon Street- 30th Floor, Boston, MA 02108
BD
CRD#: 2998
Boston, MA

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

General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/3/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BOSTON PARTNERS SECURITIES, L.L.C.
BOSTON PARTNERS SECURITIES, L.L.C. | WEISS, PECK & GREER, L.L.C. | WEISS, PECK & GREER INVESTMENTS | WEISS PECK & GREER LLC | WEISS PECK & GREER | ROBECO USA, L.L.C. | ROBECO USA BROKERAGE SERVICES | ROBECO SECURITIES, L.L.C. | ROBECO INVESTMENT MANAGEMENT

CRD#: 2998 / SEC#: , 8-15648

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Beacon Street- 30th Floor, Boston, MA 02108
Mailing Address
One Beacon Street- 30th Floor, Boston, MA 02108
Phone number
(617) 832-8200
Established
Delaware since 05/21/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOSTON PARTNERSOWNER124982
BOSTON PARTNERSMANAGING MEMBER124982
BUTTERLY, WILLIAM GEORGECHIEF LEGAL OFFICER2357915
HEATHWOOD, PAUL DESMONDCHIEF EXECUTIVE OFFICER4123255
KIMBALL, MICHAEL THOMASCHIEF FINANCIAL OFFICER FINOP5590417
REID, JASON LEECHIEF COMPLIANCE OFFICER3178685

Disclosures

Regulatory Event7
Arbitration1

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

BOSTON PARTNERS SECURITIES, L.L.C.

CRD#: 2998Boston, MA 02108

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