Jeetendra Harnarain
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.
Jeetendra Harnarain was a registered financial professional .
Jeetendra is a previously registered financial professional and started their career in finance in 1999. Jeetendra had worked at 6 firms and has passed the Series 63, Series 7, Series 55 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2012 - August 6, 2012
AST INVESTOR SERVICES LLC
March 3, 2003 - March 3, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
March 20, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
June 1, 2001 - April 11, 2002
WORLDCO, L.L.C.
August 31, 2000 - May 15, 2001
NEBRASKA HUDSON COMPANY, INC.
January 4, 1999 - September 2, 1999
CONTINENTAL BROKER-DEALER CORP.
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
Series 55
Date: 6/13/2001
Limited Representative-Equity Trader ExamCurrent Firm
AST INVESTOR SERVICES LLC
CRD#: 155050 / SEC#: , 8-68694
Contact information
Documents
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.
