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Iftikhar Ul Haq

CRD# 4212059·Registered 2000 - 2007
Barred: Iftikhar Ul Haq was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Iftikhar Ul Haq was a registered financial advisor. Iftikhar was a previously registered financial advisor and started their career in finance 2000 - 2007. Iftikhar had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

FIRST MIDWEST SECURITIES, INC.·CRD# 21786
BD
Toms River, NJ
October 27, 2005 - March 29, 2007
GUNNALLEN FINANCIAL, INC·CRD# 17609
RIA
Lindenhurst, NY
October 21, 2002 - November 18, 2005
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
October 21, 2002 - November 18, 2005
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
September 8, 2000 - November 19, 2002

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Current Firm

FM
FIRST MIDWEST SECURITIES, INC.

ABLESTRONG SECURITIES, INC. | FMSI ADVISERS | FIRST MIDWEST SECURITIES, INC.

CRD#: 21786 / SEC#: 801-67749, 8-38139
BD
Cancelled by SEC on 09/28/2017

Contact Information

Established

Wisconsin since 03/02/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

FMSI BROCHURE 20141111 (3/26/2015)

Direct owners and executive officers

NamePositionCRD#
THE INVESTMENT CO., INC.HOLDING CORP.—
CROSSON, GORDON SCOTTRIA CCO/AML CO1068512
LINNA, JAMESCHAIRMAN/CEO0252013/MUNI PRINCIPAL 11/2014733321
SUTTON, KELLYOPERATIONS PRINCIPAL/VP/COO/ROSFP-OPTIONS MANAGER/CCO2033974
TRACTENBERG, ELIZABETH MARIEFINOP4577334

Disclosures

Regulatory Event

9

Arbitration

3

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2001About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2000About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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