Najia L. Cannady
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.
Najia L. Cannady, who also goes by Najja L Cannady, Najja L. Cannady, Najja Lateef Cannady, Najja Cannady, was a registered financial professional .
Najia is a previously registered financial professional and started their career in finance in 1997. Najia had worked at 20 firms and has passed the Series 65, 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
May 23, 2017 - January 10, 2019
COMERICA SECURITIES
May 23, 2017 - January 10, 2019
COMERICA SECURITIES
April 25, 2016 - May 22, 2017
CAPITAL ONE ADVISORS, LLC
April 22, 2016 - May 22, 2017
CAPITAL ONE INVESTING, LLC
April 16, 2015 - February 25, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 15, 2015 - February 25, 2016
BBVA SECURITIES INC.
July 11, 2013 - August 1, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - August 1, 2014
BBVA SECURITIES INC.
December 18, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 8, 2012 - May 29, 2012
SUMMIT FINANCIAL GROUP INC
March 8, 2012 - May 29, 2012
SUMMIT BROKERAGE SERVICES, INC.
May 3, 2004 - February 22, 2012
CHASE INVESTMENT SERVICES CORP.
May 3, 2004 - February 22, 2012
CHASE INVESTMENT SERVICES CORP.
March 15, 2001 - May 12, 2004
CITICORP INVESTMENT SERVICES
June 1, 2000 - December 22, 2000
WIT CAPITAL CORPORATION
February 23, 2000 - May 26, 2000
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1998 - November 12, 1998
ROYCE INVESTMENT GROUP, INC.
August 4, 1998 - September 11, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
September 3, 1997 - August 4, 1998
WALSH MANNING SECURITIES, LLC
August 26, 1997 - September 2, 1997
INSTITUTIONAL EQUITY CORPORATION
June 30, 1997 - July 28, 1997
LLOYD WADE SECURITIES INC.
June 30, 1997 - July 29, 1997
CENTEX SECURITIES, INCORPORATED
May 8, 1997 - May 30, 1997
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
February 26, 1997 - April 3, 1997
MEYERS POLLOCK ROBBINS, 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
Series 62
Date: 2/25/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
