Nasser M. Mardini
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.
Nasser Mohamad Mardini was a registered financial professional .
Nasser is a previously registered financial professional and started their career in finance in 1989. Nasser had worked at 9 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
June 22, 1999 - December 5, 2001
MORGAN STANLEY DW INC.
October 9, 1998 - June 8, 1999
CITICORP INVESTMENT SERVICES
June 12, 1998 - October 8, 1998
NORTH COAST SECURITIES CORPORATION
October 6, 1997 - June 18, 1998
MORGAN FULLER CAPITAL GROUP, LLC
July 21, 1993 - September 26, 1997
CITICORP INVESTMENT SERVICES
March 18, 1993 - April 12, 1993
ATLAS SECURITIES, LLC
August 11, 1992 - March 8, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 6, 1990 - August 14, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 6, 1990 - August 14, 1992
PRUCO SECURITIES, LLC.
November 21, 1989 - September 11, 1990
GOLDEN BAY SECURITIES, 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
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
