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HL

Hormoz Lashkari

WRIGHT INVESTORS' SERVICE DISTRIBUTORS
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 1605756
HL

Professional summary

Hormoz Lashkari is a registered financial professional currently at WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC. located in Shelton, Connecticut.

Hormoz is registered as a RR (Registered Representative) and started their career in finance in 1987. Hormoz has worked at 11 firms and has passed the Series 63, Series 72, Series 62, Series 52TO, Series 57TO, Series 99TO, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Hormoz Lashkari's CRS (Customer Relationship Summary).

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

Current

July 11, 2022 - Present

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

Office #1: 2 Corporate Drive Suite 770, Shelton, CT 06484
BD
CRD#: 13645
Shelton, CT
Past

May 8, 2020 - January 7, 2021

NATHAN HALE CAPITAL, LLC

BD
CRD#: 123650
CHARLOTTE, NC
Past

September 19, 2017 - April 1, 2020

NATHAN HALE CAPITAL, LLC

BD
CRD#: 123650
Portsmouth, RI
Past

January 15, 2014 - March 2, 2015

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

BD
CRD#: 5958
CHARLOTTE, NC
Past

February 14, 2005 - June 23, 2017

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

September 13, 2004 - January 31, 2005

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

August 20, 2003 - August 2, 2004

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

June 17, 2002 - May 1, 2003

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

November 20, 2000 - June 6, 2002

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

January 27, 1995 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 27, 1992 - January 26, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

May 21, 1987 - May 31, 1988

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(7/11/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/24/1987
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WI
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
MFBT CORPORATION | WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

CRD#: 13645 / SEC#: , 8-29579

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
2 Corporate Drive Suite 770, Shelton, CT 06484
Mailing Address
2 Corporate Drive Suite 770, Shelton, CT 06484
Phone number
(203) 783-4400
Established
Delaware since 11/24/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE WINTHROP CORPORATIONPARENT COMPANY OF WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
KAPPOTIS, ERNEST DOMENICFINOP / CFO4871251
KHANDWALA, AMIT SHARADCHANDRADIRECTOR2794288
POLLARD, DONALD ROBERTCCO / CEO2181631

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.

Company Information

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

CRD#: 13645Shelton, CT 06484

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