Tarek A. Elnabli
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.
Tarek Abdul Karim Elnabli, who also goes by Tarek Abdul Kaream Elnabli, Tarek Abjul Karim Elnabli, was a registered financial professional .
Tarek is a previously registered financial professional and started their career in finance in 1983. Tarek had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2015 - June 9, 2016
CROWN CAPITAL SECURITIES, L.P.
December 4, 2015 - June 9, 2016
CROWN CAPITAL SECURITIES, L.P.
July 25, 2012 - December 12, 2013
P.J. ROBB VARIABLE, LLC
August 5, 2009 - June 22, 2010
OSAIC FS, INC.
August 5, 2009 - June 22, 2010
OSAIC FS, INC.
April 10, 2006 - August 6, 2007
OSAIC FS, INC.
April 11, 2005 - August 6, 2007
OSAIC FS, INC.
March 12, 2004 - April 14, 2005
PARK AVENUE SECURITIES LLC
August 14, 1998 - October 1, 2003
PRUCO SECURITIES, LLC.
September 15, 1997 - October 1, 2003
PRUCO SECURITIES, LLC.
September 27, 1983 - August 6, 1997
NYLIFE SECURITIES LLC
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
