Hasham J. Malik
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.
Hasham Jabbar Malik, who also goes by Hasham Malik, was a registered financial professional .
Hasham is a previously registered financial professional and started their career in finance in 1999. Hasham had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - July 9, 2013
FIRST LIBERTIES FINANCIAL
March 22, 2011 - August 30, 2011
CABIN SECURITIES, INC.
December 13, 2006 - March 9, 2007
J.P. MORGAN SECURITIES LLC
October 4, 2000 - August 29, 2001
STOCK USA, INC.
June 24, 1999 - October 17, 2000
J.P. MORGAN SECURITIES LLC
June 21, 1999 - June 29, 1999
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
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.
