Ali R. Sajadian
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.
Ali Reza Sajadian, who also goes by Ali Reza Moshiri, was a registered financial professional .
Ali is a previously registered financial professional and started their career in finance in 2000. Ali had worked at 9 firms and has passed the Series 66, Series 31, 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
June 16, 2010 - December 15, 2011
AVALON SECURITIES, LTD.
August 18, 2008 - June 8, 2010
GIRARD SECURITIES, INC.
December 21, 2007 - September 26, 2008
MIDPOINT FINANCIAL SERVICES, INC.
August 22, 2007 - November 25, 2013
ENVISION ASSET MANAGEMENT, INC.
January 25, 2007 - August 2, 2007
EPLANNING ADVISORS INC
January 25, 2007 - November 30, 2007
EPLANNING SECURITIES, INC.
June 11, 2003 - March 7, 2005
C.K. COOPER & COMPANY, INC.
November 20, 2002 - January 28, 2003
MORGAN STANLEY DW INC.
April 22, 2002 - January 28, 2003
MORGAN STANLEY DW INC.
April 16, 2001 - May 16, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 2, 2000 - February 13, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
AVALON SECURITIES, LTD.
CRD#: 30522 / SEC#: , 8-44993
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.
