Khurram Tanwir
Professional summary
Khurram Tanwir was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Khurram is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Khurram had worked at 7 firms, which includes BERRY-SHINO SECURITIES INC., SOURCE CAPITAL GROUP INC., FINANCIAL WEST GROUP, BERNARD LEE & EDWARDS SECURITIES INC, INSTITUTIONAL EQUITY CORPORATION, D.L. CROMWELL INVESTMENTS INC., GLOBAL EQUITIES GROUP INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2002 - November 20, 2002
BERRY-SHINO SECURITIES, INC.
December 19, 2001 - August 6, 2002
SOURCE CAPITAL GROUP, INC.
June 15, 2001 - December 20, 2001
FINANCIAL WEST GROUP
July 12, 1999 - June 15, 2001
BERNARD, LEE & EDWARDS SECURITIES, INC
June 24, 1998 - July 1, 1999
INSTITUTIONAL EQUITY CORPORATION
March 5, 1998 - October 13, 1998
D.L. CROMWELL INVESTMENTS, INC.
August 29, 1996 - April 28, 1997
GLOBAL EQUITIES GROUP 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
BERRY-SHINO SECURITIES, INC.
CRD#: 38098 / SEC#: , 8-48091
Contact information
Documents
Direct owners and executive officers
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.
