Sarang K. Ahuja
Professional summary
Sarang Kumar Ahuja was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sarang is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Sarang had worked at 2 firms, which includes NATIONAL SECURITIES CORPORATION, BROOKSTREET SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2007 - December 4, 2008
NATIONAL SECURITIES CORPORATION
June 4, 2002 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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