Adnan Sardar
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.
Adnan Sardar, who also goes by Adnan Ahmad Khan ^, Adnan A Sardar, Adnan Ahmad Sardar, Adnan Ahmad^ Sardar ^, Khan Sardar, was a registered financial professional .
Adnan is a previously registered financial professional and started their career in finance in 1997. Adnan had worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2013 - February 28, 2014
S.G. LONG & COMPANY
October 30, 2008 - March 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2008 - March 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2006 - December 31, 2009
EXECUTIVE CAPITAL MANAGEMENT, LLC
December 13, 2004 - July 28, 2008
RIVERSTONE WEALTH MANAGEMENT, INC.
December 13, 2004 - July 28, 2008
RIVERSTONE WEALTH MANAGEMENT, INC.
June 23, 2004 - December 31, 2005
EXECUTIVE CAPITAL MANAGEMENT, LLC
March 5, 2004 - December 20, 2006
THOMAS GROUP CAPITAL
September 4, 2003 - December 8, 2003
PORTFOLIO PARTNERS, LLC
April 9, 2002 - August 8, 2002
CHASE INVESTMENT SERVICES CORP.
April 20, 2001 - March 21, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 15, 1997 - April 26, 2001
MORGAN STANLEY DW 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
S.G. LONG & COMPANY
CRD#: 47511 / SEC#: , 8-51816
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG LONG FINANCIAL SERVICES CORPORATION | HOLDING COMPANY | |
| SEIDENSCHWARZ, ROBERT GUY ISAAC | DIRECTOR | 1011121 |
| COOPER, DIRK NATHAN | DIRECTOR | |
| COSTA, BRUCE ANTHONY | DIRECTOR | 6348002 |
| FELIX, DARLA MARIE | CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER | 5874509 |
| KLEESE, MICHAEL F | DIRECTOR | |
| VINSO, JOSEPH DAVID | DIRECTOR | |
| WILLIAMS, SUSAN ELAINE | PRESIDENT/CEO | 2290587 |
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 35,331,635 |
Disclosures
| Regulatory Event | 2 |
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.
