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Syed A. Naqvi

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CRD#: 2333280
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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


Are you a "fiduciary"?
No

Aliases


None

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.

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 8, 1999 - August 24, 1999

THE THORNWATER COMPANY, L.P.

BD
CRD#: 36195
NEW YORK, NY
Past

April 25, 1996 - July 28, 2000

KLEIN, MAUS & SHIRE INC.

BD
CRD#: 20527
NEW YORK, NY
Past

March 23, 1995 - April 26, 1996

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

February 10, 1994 - March 10, 1995

BARRETT DAY SECURITIES, INC.

BD
CRD#: 17717
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
General Industry/Product Exam

Current Firm


TT
THE THORNWATER COMPANY, L.P.
THE THORNWATER COMPANY, L.P.

CRD#: 36195 / SEC#: , 8-47178

BD
Terminated by SEC on 04/25/2003
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Contact information


Main Address
Mailing Address
Phone number
Established
New York since 12/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
THE THORNWATER ADVISORY GROUPGENERAL PARTNER
BOLOGNA, STEPHEN JOHNTRADING PRINCIPAL2571478
DUFFY, FRANCIS THOMASCHIEF FINANCIAL OFFICER500206
FERRARI, BARRY MORTONCOMPLIANCE DIRECTOR, ROP, CROP, SROP848024
GRABOWSKI, ROBERT JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1639890

Disclosures


Regulatory Event16
Civil Event1
Arbitration1

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.

Company Information


THE THORNWATER COMPANY, L.P.

CRD#: 36195

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