Naseeruddin Mahmood
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.
Naseeruddin Mahmood, who also goes by Mani Mahmood, was a registered financial professional .
Naseeruddin is a previously registered financial professional and started their career in finance in 1994. Naseeruddin had worked at 5 firms and has passed the Series 65, 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
October 31, 2001 - July 17, 2002
FIRST MONTAUK SECURITIES CORP.
March 22, 1999 - October 10, 2001
RYAN BECK & CO.
April 8, 1996 - February 1, 1999
KLEIN, MAUS & SHIRE INC.
March 23, 1995 - April 26, 1996
BARRON CHASE SECURITIES, INC.
January 26, 1994 - March 10, 1995
BARRETT DAY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 5 |
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.
