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Fariq J. Merchant

Some features on this profile are disabled
CRD#: 4713604
FM

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.

Fariq Jahoor Merchant was a registered financial professional .

Fariq is a previously registered financial professional and started their career in finance in 2003. Fariq had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 20, 2009 - February 26, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 12, 2008 - March 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 24, 2003 - October 27, 2003

TANSTAAFL RESEARCH & TRADING, L.L.C.

BD
CRD#: 41582
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/27/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 5/7/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/11/2008
General Securities Representative Examination

Current Firm

BO
BANC OF AMERICA SECURITIES LLC
BANC OF AMERICA SECURITIES LLC | NCNB CAPITAL MARKETS, INC. | NATIONSBANC MONTGOMERY SECURITIES, INC. | NATIONSBANC MONTGOMERY SECURITIES LLC | NATIONSBANC CAPITAL MARKETS, INC.

CRD#: 26091 / SEC#: , 8-42263

BD
Terminated by SEC on 01/27/2011
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/03/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
GUARDINO, JOSEPH ANTHONY JRCHIEF OPERATIONS OFFICER2907957
MONTAG, THOMAS KELLCEO/MANAGER1474696
QUTUB, ROBERTCFO4623123
RADEST, MICHAEL BENJAMINCHIEF COMPLIANCE OFFICER-BROKER DEALER1687387

Disclosures

Regulatory Event88
Civil Event2
Arbitration3

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.

Company Information

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

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