Neshat Rowhani
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.
Neshat Rowhani, who also goes by Neshat Rowhani, was a registered financial professional .
Neshat is a previously registered financial professional and started their career in finance in 1999. Neshat had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, 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
November 16, 2023 - November 1, 2024
VANGUARD MARKETING CORPORATION
September 2, 2022 - August 28, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 27, 2021 - December 4, 2021
CHARLES SCHWAB & CO., INC.
October 12, 2020 - March 24, 2021
MORGAN STANLEY
June 13, 2020 - November 10, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2015 - June 21, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 4, 2014 - February 19, 2014
MML INVESTORS SERVICES, LLC
July 10, 2000 - June 29, 2004
LPL FINANCIAL LLC
September 23, 1999 - February 10, 2000
TD AMERITRADE, 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
Series 7TO
Date: 6/12/2020
General Securities Representative ExaminationCurrent Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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