Farhad S. Arasi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Farhad S. Arasi, who also goes by Farhad Soroush Arasi, was a registered financial professional .
Farhad is a previously registered financial professional and started their career in finance in 1983. Farhad had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2010 - December 12, 2013
DU PASQUIER & CO., INC.
August 15, 2003 - December 31, 2006
UHLMANN PRICE SECURITIES, LLC
May 2, 2003 - July 31, 2003
UHLMANN PRICE SECURITIES, LLC
November 13, 2001 - May 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1983 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DU PASQUIER & CO., INC.
CRD#: 24750 / SEC#: 801-61795, 8-41367
Contact information
Disclosures
| Regulatory Event | 3 |
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.
