Adel Wahba is a registered investment advisor, based in Irvine, CA, with 32 years of industry experience.
Location
15560 Rockfield, Bldg. C, Suite 203, Irvine, CA, 92618
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Adel is a sole proprietor operating under the DBA AW Wealth Advisory. This activity requires minimal time.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 10 mos
Cetera Advisors LLC
September 2022 - Present · 3 yrs 10 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 8 mos
Previous Registrations
First Allied Advisory Services, INC.
July 2012 - November 2020 · 8 yrs 4 mos
First Allied Securities, INC.
April 2008 - July 2012 · 4 yrs 3 mos
First Allied Securities, INC.Broker
May 2001 - September 2022 · 21 yrs 4 mos
Equitrade Securities CorporationBroker
August 2000 - October 2000 · 2 mos
A. G. Edwards & Sons, INC.Broker
April 1996 - May 1997 · 1 yr 1 mo
Bridgecorp SecuritiesBroker
June 1995 - April 1996 · 10 mos
NationssecuritiesBroker
July 1993 - September 1994 · 1 yr 2 mos
Dean Witter Reynolds INC.Broker
May 1990 - July 1993 · 3 yrs 2 mos
The Prudential Insurance Company of AmericaBroker
January 1989 - April 1990 · 1 yr 3 mos
Pruco Securities CorporationBroker
January 1989 - April 1990 · 1 yr 3 mos
Baraban Securities, INC.Broker
August 1988 - January 1989 · 5 mos
State Registrations6 states
ALCANCNJPATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.