Usman Mushtaq
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.
Usman Mushtaq, who also goes by James Davis, Usman Mustaq, was a registered financial professional .
Usman is a previously registered financial professional and started their career in finance in 1996. Usman had worked at 12 firms and has passed the Series 65, Series 63, SIE 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
May 31, 2017 - January 3, 2018
CAPITAL ONE ADVISORS, LLC
May 26, 2017 - January 3, 2018
CAPITAL ONE INVESTING, LLC
June 24, 2014 - June 17, 2015
SANTANDER SECURITIES LLC
June 24, 2014 - June 17, 2015
SANTANDER SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
September 9, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 7, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 1, 2004 - August 20, 2004
J.P. TURNER & COMPANY, L.L.C.
July 29, 2002 - February 10, 2004
EQUITABLE ADVISORS, LLC
January 15, 2002 - February 10, 2004
EQUITABLE ADVISORS, LLC
November 9, 2001 - December 11, 2001
SANDS BROTHERS & CO., LTD.
January 2, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
January 11, 1999 - January 9, 2001
DALTON KENT SECURITIES GROUP, INC.
August 13, 1997 - December 31, 1998
J.P. TURNER & COMPANY, L.L.C.
October 25, 1996 - August 12, 1997
ARGENT SECURITIES, INC.
July 30, 1996 - March 19, 1998
DUKE & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
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.
