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NE

Niaz Elmazi

Some features on this profile are disabled
CRD#: 2992689
NE

Professional summary

Niaz Elmazi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Niaz is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Niaz had worked at 9 firms, which includes GLOBAL ARENA CAPITAL CORP, HFP CAPITAL MARKETS LLC, DAWSON JAMES SECURITIES INC., FIRST MONTAUK SECURITIES CORP., COMMERCE ONE FINANCIAL INC., RAYMOND JAMES FINANCIAL SERVICES INC., EASTBROOK CAPITAL GROUP LLC, U.S. SECURITIES & FUTURES CORP., MORGAN WILSHIRE SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Elmazi | Nick Morrisey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 30, 2013 - May 6, 2015

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

February 26, 2009 - October 21, 2013

HFP CAPITAL MARKETS LLC

BD
CRD#: 44351
NEW YORK, NY
Past

August 6, 2008 - March 23, 2009

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
NEW YORK, NY
Past

January 5, 2004 - April 14, 2004

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

October 22, 2002 - October 28, 2002

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, NY
Past

October 7, 2002 - October 22, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

November 9, 2001 - September 6, 2002

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY
Past

October 12, 2001 - November 6, 2001

U.S. SECURITIES & FUTURES CORP.

BD
CRD#: 36045
NEW YORK, NY
Past

June 15, 2001 - September 28, 2001

MORGAN WILSHIRE SECURITIES, INC.

BD
CRD#: 44807
GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/2008
General Securities Representative Examination

Current Firm

GA
GLOBAL ARENA CAPITAL CORP
EQUITIES TRADING CORP. | GLOBAL ARENA CAPITAL CORP | EQUITIES TRADING CORPORATION

CRD#: 16871 / SEC#: , 8-34661

BD
Terminated by SEC on 08/08/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/17/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL ARENA HOLDING INC.OWNER
PMC CAPITAL LLCOWNER
BRUNO, VINCENT MICHAELCHIEF COMPLIANCE OFFICER1845833
DESIDERIO, BARBARA LUCILLENONE2080713
DESIDERIO, BARBARA LUCILLEFINOP2080713

Disclosures

Regulatory Event4
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

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