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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

A.J. WALIA

Advisor at STRATEGIC ADVISERS LLC

WALNUT CREEK, CA | CONCORD, CA

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Search this name across graphsid dfx:ria:04ca9318-c960-510c-fd57-ba7d1386b330

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 10, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 6, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 6, 2007
First registration: Jul 10, 2007
Dual registered: yes, broker-dealer
Other names: AJIT WALIA|AJIT PAUL WALIA|A.J. WALIA|AJIT PAUL WALIA|A.J. PAUL WALIA
IAPD individual key: 5131422

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	CONCORD, CA\|WALNUT CREEK, CA	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|WALNUT CREEK, CA\|CONCORD, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 29, 2010	Jul 13, 2018	no	BERKELEY, CA\|WALNUT CREEK, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 5, 2009	Sep 9, 2010	no	WALNUT CREEK, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 10, 2007	Feb 13, 2009	no	OAKLAND, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
CHASE INVESTMENT SERVICES CORP.	STRATEGIC ADVISERS LLC	Sep 9, 2010	Sep 29, 2010	20	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Feb 13, 2009	Nov 5, 2009	265	Firm change	Other

Relationships

Registered with (4)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 29, 2010 to Jul 13, 2018factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 5, 2009 to Sep 9, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 10, 2007 to Feb 13, 2009factForm ADV

Dated events

No dated event names this entity yet.