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KA

Kumail Abbas

NETWORK 1 FINANCIAL SECURITIES
Hauppauge, NY 11788
Some features on this profile are disabled
CRD#: 5722935
KA

Professional summary

Kumail Abbas, who also goes by Ken Abbas, is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Hauppauge, New York.

Kumail is registered as a RR (Registered Representative) and started their career in finance in 2009. Kumail has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Abbas

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 Kumail Abbas'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

May 3, 2019 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: 1600 Expressway Drive South Suite 200, Hauppauge, NY 11788
BD
CRD#: 13577
Hauppauge, NY
Past

August 31, 2016 - May 30, 2019

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MELVILLE, NY
Past

August 28, 2013 - October 1, 2014

CAPE SECURITIES INC.

BD
CRD#: 7072
HOLBROOK, NY
Past

March 20, 2013 - July 1, 2013

C.K. COOPER & COMPANY, INC.

BD
CRD#: 106578
MELVILLE, NY
Past

October 1, 2012 - February 26, 2013

CAPE SECURITIES INC.

BD
CRD#: 7072
HOLBROOK, NY
Past

April 27, 2010 - September 27, 2012

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

December 24, 2009 - February 9, 2010

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
HOLBROOK, NY
Past

December 24, 2009 - May 4, 2010

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
FARMINGVILLE, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(5/3/2019)
RR
Alaska
(8/26/2021)
RR
Arizona
(5/3/2019)
RR
Arkansas
(5/3/2019)
RR
California
(5/3/2019)
RR
Colorado
(5/3/2019)
RR
Connecticut
(5/16/2019)
RR
Delaware
(8/26/2021)
RR
Florida
(5/3/2019)
RR
Georgia
(5/8/2019)
RR
Idaho
(5/8/2019)
RR
Illinois
(5/3/2019)
RR
Indiana
(5/8/2019)
RR
Iowa
(5/3/2019)
RR
Kansas
(5/3/2019)
RR
Kentucky
(6/3/2019)
RR
Louisiana
(5/3/2019)
RR
Maryland
(5/8/2019)
RR
Massachusetts
(5/8/2019)
RR
Michigan
(5/19/2020)
RR
Minnesota
(5/3/2019)
RR
Mississippi
(4/7/2025)
RR
Montana
(6/10/2024)
RR
Nebraska
(6/24/2019)
RR
Nevada
(5/3/2019)
RR
New Hampshire
(5/8/2019)
RR
New Jersey
(6/19/2019)
RR
New York
(5/3/2019)
RR
North Carolina
(5/30/2019)
RR
North Dakota
(8/26/2021)
RR
Ohio
(5/3/2019)
RR
Oklahoma
(5/8/2019)
RR
Oregon
(5/3/2019)
RR
Pennsylvania
(5/3/2019)
RR
Rhode Island
(5/8/2019)
RR
South Carolina
(5/3/2019)
RR
South Dakota
(8/26/2021)
RR
Tennessee
(8/26/2021)
RR
Texas
(5/3/2019)
RR
Utah
(1/8/2020)
RR
Virginia
(5/3/2019)
RR
Washington
(5/3/2019)
RR
West Virginia
(8/26/2021)
RR
Wisconsin
(5/3/2019)
RR
Wyoming
(5/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2010
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: 12/23/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

N1
NETWORK 1 FINANCIAL SECURITIES INC.
ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

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

Main Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Mailing Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Phone number
(732) 758-9001
Established
Texas since 03/15/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 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#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNTSHAREHOLDER
BRUNO, VINCENT MICHAELCHIEF COMPLIANCE OFFICER1845833
HUNT, WILLIAM RICHARD JRDIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE830575
TESTAVERDE, DAMON DOMENICVICE PRESIDENT444453

Disclosures

Regulatory Event21
Arbitration4

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

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577Hauppauge, NY 11788

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