Syed F. Alam
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 Faruqe Alam, who also goes by Faruqe S Alam, S Faruqe Alam, Faruqe Faruqe Alam, Syed Alam, was a registered financial professional .
Syed is a previously registered financial professional and started their career in finance in 2019. Syed had worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Northwestern University - Kellogg School of Management
2004
Lehigh University College of Business
BS - Accounting
1989
Experience
September 6, 2019 - November 27, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
September 6, 2019 - September 17, 2025
BOFA SECURITIES, INC.
September 4, 2019 - September 17, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| 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.
