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TK

Tariq S. Khan

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CRD#: 1589559
TK

Professional summary

Tariq Samad Khan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Tariq is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Tariq had worked at 10 firms, which includes LISS FINANCIAL SERVICES, SHAMROCK PARTNERS LTD, TEXAS CAPITAL SECURITIES INC., NORTHEAST SECURITIES LLC, D.E. FREY & COMPANY INC., ROTH CAPITAL PARTNERS LLC, INTERNATIONAL ASSETS ADVISORY LLC, FITZGERALD DEARMAN & ROBERTS INC., R.B. MARICH INC., THE STUART-JAMES COMPANY INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terry Kahn | Tariq Khan | Terry Khan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 1, 1995 - December 17, 1996

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

June 1, 1995 - September 20, 1995

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

May 1, 1995 - October 23, 1995

TEXAS CAPITAL SECURITIES, INC.

BD
CRD#: 25564
HOUSTON, TX
Past

June 2, 1994 - April 26, 1995

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

August 19, 1993 - June 3, 1994

TEXAS CAPITAL SECURITIES, INC.

BD
CRD#: 25564
HOUSTON, TX
Past

April 1, 1993 - August 9, 1993

D.E. FREY & COMPANY, INC.

BD
CRD#: 23595
DENVER, CO
Past

January 14, 1991 - April 5, 1993

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

August 15, 1988 - January 14, 1991

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

April 5, 1988 - January 12, 1990

FITZGERALD, DEARMAN & ROBERTS, INC.

BD
CRD#: 317
Past

September 28, 1987 - April 5, 1988

R.B. MARICH, INC.

BD
CRD#: 13227
Past

January 21, 1987 - October 23, 1987

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/4/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/29/1986
National Commodity Futures Examination

Current Firm

LF
LISS FINANCIAL SERVICES
J.E. LISS & COMPANY, INC. | LISS FINANCIAL SERVICES, INC. | LISS FINANCIAL SERVICES

CRD#: 21950 / SEC#: , 8-39344

BD
Terminated by SEC on 12/13/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 02/01/1988
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LISS, JEROME EDWARDPRESIDENT, DIRECTOR, CRO, SROP AND CROP310709
SCOTT, IAN JONCOMPLIANCE OFFICER2962358

Disclosures

Regulatory Event10
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

LISS FINANCIAL SERVICES

CRD#: 21950

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