Awais Ahmad
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.
Awais Ahmad was a registered financial professional .
Awais is a previously registered financial professional and started their career in finance in 1997. Awais had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - July 6, 2015
INDEPENDENT INVESTMENT BANKERS, CORP.
May 6, 2008 - September 9, 2010
SUCCESS TRADE SECURITIES, INC.
May 15, 2006 - October 2, 2007
UBS FINANCIAL SERVICES INC.
June 11, 1999 - August 24, 1999
TD SECURITIES (USA) LLC
October 12, 1998 - March 30, 1999
TD SECURITIES (USA) LLC
November 17, 1997 - August 31, 1998
NATWEST SECURITIES CORPORATION
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
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
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.
