Kaj S. Uddin
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.
Kaj Saad Uddin, who also goes by Kaj Uddin, Khaja S Uddin, Khaja Saad Uddin, was a registered financial professional .
Kaj is a previously registered financial professional and started their career in finance in 2000. Kaj had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 25 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
August 19, 2019 - September 27, 2019
QUATTRO M SECURITIES INC.
February 23, 2017 - November 15, 2017
QUATTRO M SECURITIES INC.
January 8, 2009 - January 11, 2017
TD PRIME SERVICES LLC
October 7, 2008 - January 7, 2009
BATTENKILL CAPITAL, INC.
September 29, 2006 - October 9, 2008
DASH FINANCIAL TECHNOLOGIES LLC
January 4, 2002 - September 29, 2006
NANDRA GROUP, INC.
September 24, 2001 - March 12, 2002
STEVENS, ALAN BEN
October 1, 2000 - November 7, 2001
NORTHPORT SECURITIES 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 55
Date: 2/13/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 7/11/2000
NYSE Trading Assistant ExaminationCurrent Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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