Tarek O. Hussain

CEROS FINANCIAL SERVICES

Delray Beach, FL

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CRD#: 5399263

Professional summary

Tarek O Hussain, who also goes by Tarek Hussain, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Delray Beach, Florida.

Tarek is registered as a RR (Registered Representative) and started their career in finance in 2007. Tarek has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tarek Hussain

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) - BD

Click below to view Tarek O Hussain's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 16, 2026 - Present

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

Delray Beach, FL

Past

November 29, 2016 - August 30, 2024

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

Pompano Beach, FL

Past

October 17, 2014 - November 29, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

Pompano Beach, FL

Past

September 18, 2009 - November 12, 2014

IAA FINANCIAL LLC

CRD#: 6578

Boca Raton, FL

Past

August 22, 2007 - October 2, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

BOCA RATON, FL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/22/2026)

Colorado
(5/20/2026)

Connecticut
(5/12/2026)

Florida
(4/16/2026)

Georgia
(5/11/2026)

Illinois
(4/21/2026)

Indiana
(5/21/2026)

Kentucky
(4/21/2026)

Maryland
(4/22/2026)

Massachusetts
(5/6/2026)

Michigan
(4/21/2026)

Minnesota
(5/8/2026)

Mississippi
(4/23/2026)

New Jersey
(5/8/2026)

New Mexico
(4/22/2026)

New York
(5/13/2026)

North Carolina
(5/12/2026)

Ohio
(5/4/2026)

Pennsylvania
(5/12/2026)

South Carolina
(4/21/2026)

Texas
(5/8/2026)

Virginia
(5/21/2026)

Washington
(5/20/2026)

Wisconsin
(5/20/2026)

Exams

State Security Law Exam

Series 63

Date: 8/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2007

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

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

Tarek O. Hussain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tarek O Hussain's CRS (Customer Relationship Summary).

Certified licenses

Experience

NETWORK 1 FINANCIAL SECURITIES INC.

LEGEND SECURITIES, INC.

IAA FINANCIAL LLC

GUNNALLEN FINANCIAL, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2007

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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