Sadiya Z. Sarwar
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.
Sadiya Z Sarwar was a registered financial professional .
Sadiya is a previously registered financial professional and started their career in finance in 2008. Sadiya had worked at 5 firms and has passed the Series 63, SIE, Series 82 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2017 - December 31, 2019
WEALTHFORGE SECURITIES, LLC
February 18, 2016 - July 11, 2017
HB SECURITIES, LLC
June 11, 2015 - January 28, 2016
THE FIG GROUP, LLC
October 1, 2012 - January 2, 2014
J.P. MORGAN SECURITIES LLC
June 3, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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
WEALTHFORGE SECURITIES, LLC
CRD#: 152550 / SEC#: , 8-68464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
