Umar Farooq Ali

Current Employers

Employment History

• 01/2016 → 10/2017
  Blue Ridge Bank
  Harrisonburg, VA
• 02/2016 → 01/2017
  Infinex Investments, Inc.
  Meriden, CT
• 01/2017 → 10/2017
  Lpl Financial Llc
  Harrisonburg, VA
• 10/2017 → 06/2019
  First Bank & Trust Company
  Harrisonburg, VA
• 10/2017 → 06/2019
  Infinex Investments, Inc.
  Meriden, CT
• 07/2019 → 11/2023
  First Citizens Investor Services
  Raleigh, NC
• 07/2019 → 11/2023
  First Citizens Bank
  Harrisonburg, VA
• 11/2023 → Present
  First Citizens Investor Services
  Raleigh, NC

Previous Registrations

• 2017-10-30 → 2019-06-21
  Osaic Institutions, Inc.
  Harrisonburg, VA
  Chapel Hill, NC
  Johnson City, TN
  Abingdon, VA
  Abingdon, VA
• 2017-01-30 → 2017-10-12
  Lpl Financial Llc
  Harrisonburg, VA
  San Diego, CA
  Harrisonburg, VA
• 2016-02-17 → 2017-02-01
  Osaic Institutions, Inc.
  Harrisonburg, VA
  Chapel Hill, NC
  Luray, VA
• 2014-12-17 → 2016-01-29
  Wells Fargo Clearing Services, Llc
  Roanoke, VA
  Harrisonburg, VA
  Roanoke, VA

Other Businesses

Umar Ali, 4145 Traveler Rd., Rockingham, VA 22801. Civil Celebrant, appointed by Rockingham County Circuit Court to perform Rites of marriage ceremonies under VA code 20-25. Owner, began 4/28/17. 3 hours /month, 1 during trading hours. Not investment related. Fee Based Compensation.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-12-17
• S63 Uniform Securities Agent State Law Examination
  2014-11-26