Naveed A. Khan
Professional summary
Naveed Akhtar Khan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Naveed is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Naveed had worked at 8 firms, which includes WINDSOR STREET CAPITAL LP, OBSIDIAN FINANCIAL GROUP LLC, JHS CAPITAL ADVISORS LLC, GREAT EASTERN SECURITIES INC., J.P. TURNER & COMPANY L.L.C., NATIONAL SECURITIES CORPORATION, LADENBURG THALMANN & CO. INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2013 - May 10, 2016
WINDSOR STREET CAPITAL, LP
January 7, 2011 - June 10, 2013
OBSIDIAN FINANCIAL GROUP, LLC
January 20, 2009 - December 17, 2010
JHS CAPITAL ADVISORS, LLC
January 23, 2007 - February 5, 2009
WINDSOR STREET CAPITAL, LP
January 26, 2006 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
January 3, 2005 - January 18, 2006
J.P. TURNER & COMPANY, L.L.C.
July 27, 2004 - December 31, 2004
J.P. TURNER & COMPANY, L.L.C.
January 22, 2004 - August 3, 2004
NATIONAL SECURITIES CORPORATION
October 15, 2003 - November 11, 2003
LADENBURG THALMANN & CO. INC.
January 8, 2003 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
