Asad J. Farraj
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.
Asad J Farraj, who also goes by Aj Farraj, Asad Farraj, Edward Farraj, was a registered financial professional .
Asad is a previously registered financial professional and started their career in finance in 2002. Asad had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - December 1, 2015
AVENIR FINANCIAL GROUP
August 7, 2014 - April 22, 2015
WOODSTOCK FINANCIAL GROUP, INC.
July 29, 2014 - August 4, 2014
WOODSTOCK FINANCIAL GROUP, INC.
February 11, 2013 - August 25, 2014
BLACKBOOK CAPITAL, LLC
May 31, 2012 - March 1, 2013
COLUMBUS ADVISORY GROUP, LTD.
January 11, 2012 - March 8, 2012
CHARLES VISTA LLC
May 18, 2010 - November 18, 2011
CHARLES VISTA LLC
August 12, 2009 - May 13, 2010
REID & RUDIGER LLC
March 23, 2009 - July 8, 2009
IFS SECURITIES
January 23, 2007 - July 14, 2008
WINDSOR STREET CAPITAL, LP
March 17, 2006 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
January 3, 2005 - January 18, 2006
J.P. TURNER & COMPANY, L.L.C.
August 4, 2004 - December 31, 2004
J.P. TURNER & COMPANY, L.L.C.
April 6, 2004 - August 24, 2004
GREAT EASTERN SECURITIES, INC.
January 29, 2004 - February 26, 2004
NATIONAL SECURITIES CORPORATION
March 12, 2002 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
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 62
Date: 12/11/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
