Hassan Z. El-farra
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.
Hassan Ziad El-farra, who also goes by Haas El-farra, Hassan Ziad El-farra, was a registered financial professional .
Hassan is a previously registered financial professional and started their career in finance in 2001. Hassan had worked at 4 firms and has passed the SIE, Series 79 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - January 4, 2016
LANCASTER POLLARD & CO., LLC
January 19, 2005 - July 31, 2007
NATIVEONE INSTITUTIONAL TRADING, LLC.
July 1, 2003 - September 24, 2004
A.L. SARROFF, LLC
May 31, 2001 - June 30, 2003
SARROFF, ALAN LEWIS
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 25
Date: 1/17/2002
NYSE Trading Assistant ExaminationCurrent Firm
LANCASTER POLLARD & CO., LLC
CRD#: 24110 / SEC#: , 8-40905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANCASTER POLLARD HOLDINGS, LLC | MEMBER (09/2013) | |
| GESUE, NICHOLAS MASSEY | MANAGER (07/2017) AND CHIEF EXECUTIVE OFFICER | 4463110 |
| KIRKWOOD, ROBERT THOMAS | MANAGER (07/2017) AND CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER (03/2014) | 6025468 |
| MAINELLI, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER | 1751991 |
| MATT, KASSEM K. | MANAGER (07/2017) AND PRESIDENT (07/2015) | 5115995 |
Disclosures
| Regulatory Event | 3 |
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.
