Syed N. Ameen
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.
Syed Naved Ameen, who also goes by Syed Nayed Ameen, Syed Ameen, was a registered financial professional .
Syed is a previously registered financial professional and started their career in finance in 1990. Syed had worked at 10 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 28, 2010 - July 14, 2014
MORGAN STANLEY & CO. LLC
March 30, 2009 - May 26, 2010
CANTOR FITZGERALD & CO.
February 19, 2009 - April 3, 2009
JEFFERIES LLC
November 3, 2008 - February 3, 2009
OPPENHEIMER & CO. INC.
September 6, 2007 - May 21, 2008
UBS SECURITIES LLC
April 16, 2003 - May 10, 2006
LEHMAN BROTHERS INC.
August 20, 1998 - March 14, 2003
BANC OF AMERICA SECURITIES LLC
September 30, 1996 - April 6, 1998
NATWEST MARKETS SECURITIES INC.
June 4, 1996 - August 23, 1996
PERSHING LLC
January 23, 1990 - June 6, 1996
CITIGROUP GLOBAL MARKETS 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 & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
