Syed A. Naqvi
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 Ahsan Naqvi was a registered financial professional .
Syed is a previously registered financial professional and started their career in finance in 1994. Syed had worked at 4 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 8, 1999 - August 24, 1999
THE THORNWATER COMPANY, L.P.
April 25, 1996 - July 28, 2000
KLEIN, MAUS & SHIRE INC.
March 23, 1995 - April 26, 1996
BARRON CHASE SECURITIES, INC.
February 10, 1994 - March 10, 1995
BARRETT DAY 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
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
