Farhan M. Kazmi
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.
Farhan Mustafa Kazmi, who also goes by Farhan Mastafa Kazmi, was a registered financial professional .
Farhan is a previously registered financial professional and started their career in finance in 2003. Farhan had worked at 3 firms and has passed the Series 65, Series 63, 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
April 28, 2021 - August 6, 2025
WINDERMERE CAPITAL LLC
May 21, 2007 - October 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
November 27, 2003 - May 23, 2007
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 55
Date: 4/7/2004
Limited Representative-Equity Trader ExamCurrent Firm
WINDERMERE CAPITAL LLC
CRD#: 313746 / SEC#:
Contact information
Red Flags
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