Asif M. Taj
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.
Asif Mohammad Taj, who also goes by Asif Mohammad Tuj, was a registered financial professional .
Asif is a previously registered financial professional and started their career in finance in 2004. Asif had worked at 4 firms and has passed the Series 66, Series 31, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2007 - September 24, 2013
SETHI FINANCIAL INVESTMENTS, INC.
December 6, 2006 - July 6, 2007
TD AMERITRADE, INC.
December 4, 2006 - July 6, 2007
TD AMERITRADE, INC.
December 4, 2006 - July 6, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 10, 2005 - April 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2004 - April 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2004 - June 22, 2005
SETHI FINANCIAL INVESTMENTS, 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
Current Firm
SETHI FINANCIAL INVESTMENTS, INC.
CRD#: 129292 / SEC#: , 8-66210
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SETHI FINANCIAL GROUP, INC. | SHAREHOLDER | |
| WANG, SHENG | CHIEF COMPLIANCE OFFICER | 6074631 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
