Rajiv Dang

FIRST ASSET FINANCIAL

Overland Park, KS 66210

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CRD#: 2343345

Professional summary

Rajiv Dang is a registered financial professional currently at FIRST ASSET FINANCIAL INC. located in Overland Park, Kansas.

Rajiv is registered as a RR (Registered Representative) and started their career in finance in 1993. Rajiv has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 23 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

FIRST ASSET FINANCIAL INC.(FAF) APPROVES OF THE FOLLOWING NON-SECURITIES BUSINESS ACTIVITY THAT IS NOT INVESTMENT RELATED, NOR SUPERVISED BY FAF: DANG OPERATES SLEEP DISCORDER INSTITUTE, INC AND SLEEP APNEA CLINIC AND SLEEP EQUIPMENT, 1181 W. 112TH ST., STE 101, OVERLAND PARK, KANSAS TO WHICH HE DEVOTES 10-20 HRS PER MONTH DURING MKT HRS. HE ALSO IS THE OWNER OF HIMALAYA FINANCIAL SERVICES GROUP SINCE JUNE 1996 OFFERING MORTGAGE SERVICES & TAX PREPARATION THROUGH JACKSON HEWITT FRANCHISES. DANG ALSO HAS REGISTERED A BUSINESS CORPORATION CALLED 7 SEAS INC IN NOVEMBER 2020 THAT HE MAY USE IN THE FUTURE. NONE OF THE PRECEEDING ENTITIES OFFER SECURITIES AND ARE NOT INVESTMENT RELATED. ALL SERVICE AND PRODUCTS THAT ARE OFFERED BY THESE ENTITIES OR DANG AS RELATED TO THESE ENTITIES ARE THE SOLE RESPONSIBILITY OF DANG ALONE AND ARE NOT SUPERVISED BY NOR A RESPONSIBILITY OF FAF

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rajiv Dang's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 10, 2007 - Present

FIRST ASSET FINANCIAL INC.

Office #1: 11881 W. 112th Street, Suite 100, Overland Park, KS 66210

CRD#: 139107

Overland Park, KS

Past

November 17, 2021 - December 31, 2024

CHIEF ADVISORS CORP

RIA

CRD#: 125261

Overland Park, KS

Past

October 23, 2007 - December 31, 2019

CHIEF ADVISORS CORP

RIA

CRD#: 125261

Overland Park, KS

Past

May 27, 2003 - August 22, 2005

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

January 4, 1999 - May 6, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 24, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

July 9, 1993 - April 9, 1997

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(10/11/2007)

Missouri
(10/11/2007)

Virginia
(1/5/2009)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 23

Date: 2/16/2005

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 8

Date: 5/19/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

FIRST ASSET FINANCIAL INC.

CRD#: 139107 / SEC#: , 8-67191

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

110 E. Iron Ave., Salina, KS 67401

Mailing Address

110 E. Iron Ave., Salina, KS 67401

Phone number

(785) 825-5050

Established

Kansas since 06/15/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (20 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AMERICAN GLOBAL WEALTH SERVICES, INC	OWNER
CIANTRO, PHILIP GERARD	FINOP	2350685
FAULK, RACHEL	CCO	7712313
HAMMAN, ROBERT LEE	PRESIDENT, ROSFP	827526

Disclosures

Regulatory Event

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.

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Rajiv Dang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rajiv Dang's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHIEF ADVISORS CORP

CHIEF ADVISORS CORP

NEXT FINANCIAL GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

PRINCIPAL FINANCIAL SECURITIES,INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/1996

Series 63

Date: 5/28/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/26/1993

Series 23

Date: 2/16/2005

Series 8

Date: 5/19/1997

FINRA

Current Firm

FIRST ASSET FINANCIAL INC.

Contact information

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST ASSET FINANCIAL INC.

TRUST BUT VERIFY

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