Nauman Khan

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CRD#: 4980580

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.

Nauman Khan, who also goes by Nauman Khan, Neuman Khan, was a registered financial professional .

Nauman is a previously registered financial professional and started their career in finance in 2005. Nauman had worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nauman Khan | Neuman Khan

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

September 24, 2018 - December 19, 2018

PROTA FINANCIAL

RIA

CRD#: 283776

HOUSTON, TX

Past

October 3, 2017 - December 12, 2017

DOMINION PORTFOLIO MANAGEMENT, INC.

RIA

CRD#: 106918

KATY, TX

Past

June 29, 2017 - December 12, 2017

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

November 28, 2011 - July 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

November 21, 2011 - July 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

February 10, 2010 - March 31, 2010

PARALLAX INVESTMENTS, LLC

RIA

CRD#: 114924

HOUSTON, TX

Past

February 10, 2010 - March 31, 2010

TRI-STAR FINANCIAL

CRD#: 32458

HOUSTON, TX

Past

January 9, 2008 - January 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

January 9, 2008 - January 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

April 2, 2007 - September 6, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HOUSTON, TX

Past

April 2, 2007 - September 6, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

HOUSTON, TX

Past

April 11, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HOUSTON, TX

Past

March 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

HOUSTON, TX

Past

December 21, 2005 - February 24, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

HOUSTON, TX

Past

December 21, 2005 - February 24, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROTA FINANCIAL

PROTA | PROTA FINANCIAL, LLC | PROTA FINANCIAL

CRD#: 283776 / SEC#: 801-125895

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/23/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/7/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROTA FINANCIAL

PROTA | PROTA FINANCIAL, LLC | PROTA FINANCIAL

CRD#: 283776 / SEC#: 801-125895

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/30/2022 Terminated)

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Contact information

Main Address

1980 Post Oak Blvd Suite 100, Houston, TX 77056-3845

Mailing Address

Phone number

(713) 568-8171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROTA ADV PART 2 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,643
AUM (Assets Under Management)	$ 233,673,316

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.

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Advisor Monitoring

Firm Stability Insights

Nauman Khan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DOMINION PORTFOLIO MANAGEMENT, INC.

DOMINION INVESTOR SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PARALLAX INVESTMENTS, LLC

TRI-STAR FINANCIAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROTA FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2006

SIE

Date: 12/12/2017

Series 31

Date: 4/23/2006

Series 7

Date: 3/7/2006

Series 6

Date: 12/20/2005

Current Firm

PROTA FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROTA FINANCIAL

TRUST BUT VERIFY

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