Arash C. Eslami
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.
Arash C Eslami, who also goes by Chris Eslami, was a registered financial professional .
Arash is a previously registered financial professional and started their career in finance in 2008. Arash had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
February 4, 2015 - November 11, 2015
NEWPORT COAST SECURITIES, INC.
April 26, 2013 - September 5, 2013
NEWPORT COAST SECURITIES, INC.
February 15, 2012 - July 10, 2012
CHARLES VISTA LLC
February 11, 2009 - June 8, 2009
MERCER CAPITAL LTD.
October 30, 2008 - February 5, 2009
JOHN THOMAS FINANCIAL
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
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
