Zuhaad M. Anwar
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.
Zuhaad Mustafa Anwar was a registered financial professional .
Zuhaad is a previously registered financial professional and started their career in finance in 2003. Zuhaad had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2014 - October 7, 2021
TD AMERITRADE, INC.
August 27, 2007 - April 21, 2014
INTERACTIVE BROKERS LLC
November 4, 2004 - April 20, 2007
E*TRADE SECURITIES LLC
April 29, 2004 - October 15, 2004
GUNNALLEN FINANCIAL, INC
February 26, 2003 - November 26, 2003
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
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/29/2024
Operations Professional ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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