AK
Asif Khan
NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2736490
AK
Professional summary
Asif Khan, who also goes by Asif Salim Khan, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.
Asif is registered as a RR (Registered Representative) and started their career in finance in 1997. Asif has worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Asif Salim Khan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Asif Khan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 26, 2023 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1101
NEW YORK, NY
Past
March 4, 2014 - June 22, 2023
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
March 12, 2012 - March 3, 2014
STORMHARBOUR SECURITIES LP
BD
CRD#: 35997
NEW YORK, NY
Past
August 19, 2010 - March 19, 2012
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
August 18, 2010 - November 16, 2010
MARV CAPITAL INC.
BD
CRD#: 104390
NEW YORK, NY
Past
July 6, 2006 - July 2, 2008
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
June 21, 2004 - June 12, 2006
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
August 14, 2001 - June 10, 2004
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
July 12, 2000 - September 20, 2000
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 23, 1997 - July 6, 1998
SANTANDER INVESTMENT SECURITIES INC.
BD
CRD#: 37216
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/26/2023)
RR
Alaska(9/26/2023)
RR
Arizona(9/26/2023)
RR
Arkansas(9/26/2023)
RR
California(9/26/2023)
RR
Colorado(9/26/2023)
RR
Connecticut(9/26/2023)
RR
Delaware(9/26/2023)
RR
District of Columbia(9/26/2023)
RR
Florida(9/26/2023)
RR
Georgia(9/26/2023)
RR
Hawaii(9/26/2023)
RR
Idaho(9/26/2023)
RR
Illinois(9/26/2023)
RR
Indiana(9/26/2023)
RR
Iowa(9/26/2023)
RR
Kansas(9/26/2023)
RR
Kentucky(9/26/2023)
RR
Louisiana(9/26/2023)
RR
Maine(9/26/2023)
RR
Maryland(9/26/2023)
RR
Massachusetts(9/26/2023)
RR
Michigan(9/26/2023)
RR
Minnesota(9/26/2023)
RR
Mississippi(9/26/2023)
RR
Missouri(9/26/2023)
RR
Montana(9/26/2023)
RR
Nebraska(9/26/2023)
RR
Nevada(9/26/2023)
RR
New Hampshire(9/26/2023)
RR
New Jersey(9/26/2023)
RR
New Mexico(9/26/2023)
RR
New York(9/26/2023)
RR
North Carolina(9/26/2023)
RR
North Dakota(9/26/2023)
RR
Ohio(10/3/2023)
RR
Oklahoma(9/26/2023)
RR
Oregon(9/26/2023)
RR
Pennsylvania(9/26/2023)
RR
Rhode Island(9/26/2023)
RR
South Carolina(9/26/2023)
RR
South Dakota(9/26/2023)
RR
Tennessee(9/26/2023)
RR
Texas(9/26/2023)
RR
Utah(9/26/2023)
RR
Vermont(9/26/2023)
RR
Virginia(9/26/2023)
RR
Washington(9/26/2023)
RR
West Virginia(9/26/2023)
RR
Wisconsin(9/26/2023)
RR
Wyoming(9/26/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
CRD#: 1101 / SEC#: 801-72849, 8-719
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
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.
