Fariborz T. Zojaji
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.
Fariborz Todd Zojaji was a registered financial professional .
Fariborz is a previously registered financial professional and started their career in finance in 1994. Fariborz had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2012 - June 24, 2015
ASG SECURITIES, INC.
October 30, 2009 - November 4, 2010
NEW ENGLAND SECURITIES
October 23, 2009 - November 4, 2010
NEW ENGLAND SECURITIES
August 10, 2006 - November 6, 2007
TRUIST INVESTMENT SERVICES, INC.
August 9, 2006 - November 6, 2007
TRUIST INVESTMENT SERVICES, INC.
June 8, 2005 - August 21, 2006
A. G. EDWARDS & SONS, INC.
January 3, 2005 - August 21, 2006
A. G. EDWARDS & SONS, INC.
February 15, 1996 - November 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 1996 - November 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1994 - January 16, 1996
MORGAN STANLEY DW 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
ASG SECURITIES, INC.
CRD#: 44534 / SEC#: , 8-50730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUGLER, MICHAEL ROY | VICE CHAIRMAN | 2947789 |
| VP PERFORMANCE TRUST | SHAREHOLDER | |
| CANTRELL, WILLIAM KEY | EVP CCO | 811596 |
| DEPELISI, JAMES | EVP COO | 2339793 |
| FISCHER, KAREN ZILLIA | FIN OP | 1708090 |
| LDV CONSULTING, INC. | SHAREHOLDER | |
| ROBINSON, WILLIAM CARL | TRUSTEE, VPPT | |
| SCILLIA, MICHAEL VINCENT | DIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE | 416774 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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