Haroon I. Chishti
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.
Haroon I. Chishti was a registered financial professional .
Haroon is a previously registered financial professional and started their career in finance in 2001. Haroon had worked at 3 firms and has passed the Series 63, SIE, Series 82, Series 55, Series 7 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
January 30, 2017 - August 6, 2019
FIRST AVENUE
October 18, 2004 - March 15, 2007
ABN AMRO INCORPORATED
May 15, 2001 - April 16, 2004
KBC SECURITIES USA 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
Series 55
Date: 10/18/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIRST AVENUE
CRD#: 145860 / SEC#: , 8-67758
Contact information
FINRA licenses (51 States and Territories)
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.
