Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Asad? Claim Your ProfileAsad Ali is an investment advisor representative and has been in the securities industry since September 27, 2009. Asad Ali is currently registered with Charles Schwab & CO., Inc. and has been registered with the firm since August 23, 2023. Asad Ali was previously registered with TD Ameritrade, Inc., E*TRADE SECURITIES LLC, MORGAN STANLEY, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, METLIFE SECURITIES INC., PRUCO SECURITIES, LLC., and FIRST INVESTORS CORPORATION. Asad Ali is licensed to provide securities-related services in 17 states and the District of Columbia. Asad Ali has passed the Series 6, 7, 63, 65, and SIE exams. Asad Ali is an Investment Advisor Representative for Charles Schwab & CO., Inc., with experience in providing advisory and financial planning services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
08/23/2023 - Present
Charles Schwab & CO., Inc. (Encino CA)
CA
01/02/2024 - 07/29/2024
TD AMERITRADE, INC. (Encino CA)
CA
06/12/2018 - 08/14/2023
E*TRADE SECURITIES LLC (LOS ANGELES CA)
CA
04/03/2023 - 08/11/2023
MORGAN STANLEY (LOS ANGELES CA)
CA
07/14/2014 - 05/18/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
06/24/2011 - 06/20/2014
METLIFE SECURITIES INC. (PASADENA CA)
CA
05/12/2009 - 04/19/2010
PRUCO SECURITIES, LLC. (BREA CA)
CA
01/18/2008 - 11/07/2008
FIRST INVESTORS CORPORATION (SAN GABRIEL CA)
IA
Issued 11/16/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/24/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2011
Series 7 - General Securities Representative Examination
BC
Issued 10/23/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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