Saleem S. Chaudhry

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CRD#: 2112352

Professional summary

Saleem Sadiq Chaudhry was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Saleem is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Saleem had worked at 15 firms, which includes REDWOOD TRADING LLC, LIGHTSPEED PROFESSIONAL TRADING LLC, NETGAIN TRADING LLC, HEARTLAND SECURITIES CORP., D.L. CROMWELL INVESTMENTS INC., FIN-ATLANTIC SECURITIES INC., LAIDLAW GLOBAL SECURITIES INC., MONITOR INVESTMENT GROUP INC., GILFORD SECURITIES INCORPORATED, REICH & CO. INC., DONALD & CO. SECURITIES INC., BLUESTONE CAPITAL CORP., LEHMAN BROTHERS INC., D. H. BLAIR & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Sal Chaudhry

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.

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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

June 13, 2003 - August 4, 2003

REDWOOD TRADING, LLC

CRD#: 114774

SAN FRANCISCO, CA

Past

February 24, 2003 - July 28, 2003

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

Past

August 13, 2002 - February 28, 2003

NETGAIN TRADING, LLC

CRD#: 114838

MIAMI, FL

Past

January 4, 2001 - February 20, 2002

HEARTLAND SECURITIES CORP.

CRD#: 43201

EDISON, NJ

Past

November 3, 2000 - January 3, 2001

D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730

BOCA RATON, FL

Past

March 8, 1997 - November 30, 2000

FIN-ATLANTIC SECURITIES, INC.

CRD#: 25523

JUPITER, FL

Past

July 29, 1996 - February 25, 1997

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

November 28, 1995 - July 25, 1996

MONITOR INVESTMENT GROUP, INC.

CRD#: 31007

Past

June 16, 1993 - December 8, 1995

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

December 1, 1992 - June 15, 1993

REICH & CO., INC.

CRD#: 19611

Past

November 19, 1992 - December 1, 1992

REICH & CO., INC.

CRD#: 3148

Past

June 8, 1992 - October 23, 1992

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

May 22, 1991 - June 10, 1992

BLUESTONE CAPITAL CORP.

CRD#: 13516

NEW YORK, NY

Past

January 24, 1991 - May 1, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 17, 1990 - January 29, 1991

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

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

Series 63

Date: 12/21/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/18/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/15/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/1998

General Securities Principal Examination

Current Firm

REDWOOD TRADING, LLC

CRD#: 114774 / SEC#: , 8-53448

Terminated by SEC on 03/04/2005

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 02/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
TRADEORION HOLDINGS, LLC	OWNER/MEMBER
DENNEN, BRIAN PATRICK	CHIEF COMPLIANCE OFFICER/CROP/FINOP	3239786
MCNELL, DENNIS KING	CHIEF EXECUTIVE OFFICER/SROP	4414405

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Saleem S. Chaudhry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIGHTSPEED PROFESSIONAL TRADING LLC

NETGAIN TRADING, LLC

HEARTLAND SECURITIES CORP.

D.L. CROMWELL INVESTMENTS, INC.

FIN-ATLANTIC SECURITIES, INC.

LAIDLAW GLOBAL SECURITIES, INC.

MONITOR INVESTMENT GROUP, INC.

GILFORD SECURITIES INCORPORATED

REICH & CO., INC.

REICH & CO., INC.

DONALD & CO. SECURITIES INC.

BLUESTONE CAPITAL CORP.

LEHMAN BROTHERS INC.

D. H. BLAIR & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1990

Series 55

Date: 12/18/1999

Series 7

Date: 12/15/1990

Series 24

Date: 10/10/1998

Current Firm

REDWOOD TRADING, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REDWOOD TRADING, LLC

TRUST BUT VERIFY

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