Bijan Gorji
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.
Bijan Gorji was a registered financial professional .
Bijan is a previously registered financial professional and started their career in finance in 1992. Bijan had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2009 - February 2, 2012
STERNE, AGEE & LEACH, INC.
February 10, 2009 - March 3, 2009
MVCG SECURITIES, LLC
February 19, 1997 - September 13, 2007
COUNTRYWIDE SECURITIES CORPORATION
September 22, 1994 - February 20, 1997
GRUNTAL & CO., L.L.C.
October 19, 1992 - October 4, 1994
LIBERTY CAPITAL MARKETS, INC.
May 26, 1992 - June 2, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 20, 1992 - April 16, 1992
CINCINNATI ANALYSTS, INC.
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
