Craig T. Fass
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.
Craig Thomas Fass, who also goes by Craig Fass, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2001. Craig had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 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, 2015 - December 12, 2023
AVATAR SECURITIES, LLC
September 17, 2014 - August 3, 2015
QUASAR TRADING, LLC
May 21, 2013 - August 8, 2014
QUASAR TRADING, LLC
June 24, 2010 - June 11, 2012
BUCKMAN, BUCKMAN & REID, INC.
May 19, 2008 - June 14, 2010
ROCHDALE SECURITIES LLC
July 5, 2007 - May 21, 2008
WEDBUSH SECURITIES INC.
June 7, 2007 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
October 19, 2006 - June 12, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
April 18, 2006 - September 27, 2006
ECHOTRADE LLC
May 10, 2005 - June 17, 2005
LEK SECURITIES CORPORATION
May 10, 2005 - December 6, 2005
BROWN BROTHERS HARRIMAN & CO.
March 28, 2005 - January 3, 2006
BLUE POINT SECURITIES INC.
July 25, 2003 - February 25, 2004
D.R. SAUL & CO., INC.
July 16, 2001 - February 5, 2003
D.R. SAUL & CO., 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/13/2008
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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