Asad Khan
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.
Asad Khan, who also goes by Asad Ullah Khan, was a registered financial professional .
Asad is a previously registered financial professional and started their career in finance in 1997. Asad had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2011 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
January 25, 2007 - December 31, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
June 1, 2006 - November 3, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 4, 2002 - June 1, 2006
EVERLAKE DISTRIBUTORS, LLC
January 16, 2001 - October 4, 2002
AFD, INC.
October 15, 1999 - December 20, 2000
LASALLE FINANCIAL SERVICES, INC.
December 22, 1997 - February 8, 2001
BANC ONE 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
OGILVIE SECURITY ADVISORS CORPORATION
CRD#: 10105 / SEC#: 801-44573, 8-26505
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
