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Ashar Nafis

Some features on this profile are disabled
CRD#: 5333288
AN

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.

Ashar Nafis was a registered financial professional .

Ashar is a previously registered financial professional and started their career in finance in 2010. Ashar had worked at 3 firms and has passed the SIE, Series 7 and Series 27 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

December 14, 2012 - April 21, 2017

AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC

BD
CRD#: 157767
WILTON, CT
Past

August 17, 2012 - December 19, 2012

AIG FINANCIAL SECURITIES CORP.

BD
CRD#: 21774
WILTON, CT
Past

July 20, 2010 - April 2, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
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

General Industry/Product Exam
RR
SIE
Date: 4/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/19/2010
Financial and Operations Principal Examination

Current Firm

AG
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC

CRD#: 157767 / SEC#: , 8-68860

BD
Terminated by SEC on 11/13/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AIG GLOBAL ASSET MANAGEMENT HOLDINGS CORPMEMBER
CHAMPION, JARED MICHAELPRESIDENT/DIRECTOR2553443
MOYNIHAN, BRENDANCEO/DIRECTOR4363907
PHO, ERICCHIEF COMPLIANCE OFFICER6268365
WALSH, DANIEL ROBERT JRCFO/COO6914336

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

AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC

CRD#: 157767

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