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EH

Erfan M. Haroon

Some features on this profile are disabled
CRD#: 5406735
EH

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.

Erfan Manzoor Haroon, who also goes by Erfan M Haroon, Erfan Manzoor Haroon, was a registered financial professional .

Erfan is a previously registered financial professional and started their career in finance in 2010. Erfan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erfan M Haroon | Erfan Manzoor Haroon

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.
(1) Name: EMH Madison, LLC Position: Owner Nature: Rental Property Management Investment Related: No Hours: 5 hours per month Securities Trading Hours: 0 Start Date: 09/01/2014 Description: Observe third party management of rental properties is satisfactory. (2) Name: EXP Realty Position: EXP Realty licensed real estate person (parking license) Nature: real estate Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 6/16/2021 Address: 101 W. Big Beaver Suite 1400 Troy, Michigan 48084 Description: EXP Realty to park Michigan Real Estate License.

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 27, 2023 - January 24, 2025

EXCHANGERIGHT SECURITIES, LLC

BD
CRD#: 283430
PASADENA, CA
Past

July 6, 2021 - April 11, 2023

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

June 22, 2021 - April 11, 2023

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

March 17, 2016 - December 4, 2019

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

September 25, 2013 - January 22, 2016

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

March 19, 2013 - August 19, 2013

WALTON SECURITIES, INC.

BD
CRD#: 143763
SCOTTSDALE, AZ
Past

August 20, 2010 - March 18, 2013

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

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

State Security Law Exam
IAR
Series 65
Date: 7/6/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

ES
EXCHANGERIGHT SECURITIES, LLC
EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430 / SEC#: , 8-69753

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Phone number
(626) 564-1031
Established
California since 01/06/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EXCHANGERIGHT HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER, MANAGING MEMBER5327906
THOMAS, WARREN JESSE MCEWINPRESIDENT, MANAGING MEMBER2299254
THORNTON, STEVEN LEEFINOP4496384
UNGERECHT, JOSHUA PAULCEO, MANAGING MEMBER5183573

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

EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430

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