Elham E. Sarmadi
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.
Elham Ellie Sarmadi, who also goes by Ellie Sarmadi, Elham Williams, was a registered financial professional .
Elham is a previously registered financial professional and started their career in finance in 2008. Elham had worked at 5 firms and has passed the Series 63 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
July 3, 2013 - November 14, 2013
GAR WOOD SECURITIES, LLC
May 14, 2013 - June 28, 2013
RIVERROCK SECURITIES, LLC
April 2, 2012 - May 2, 2013
EMERSON EQUITY LLC
April 7, 2010 - February 27, 2012
MORGAN STANLEY
September 1, 2008 - August 11, 2009
MORGAN STANLEY & CO. LLC
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
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
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.
