Belal K. Faruki
Professional summary
Belal Kemal Faruki was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Belal is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Belal had worked at 2 firms, which includes JOSEPH CHARLES & ASSOC. INC., SUNAMERICA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1996 - August 16, 1996
JOSEPH CHARLES & ASSOC., INC.
June 20, 1994 - July 13, 1994
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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