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FA

Farhan K. Adhami

BARCLAYS CAPITAL
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 6503343
FA

Professional summary

Farhan Khalid Adhami, who also goes by Farhan Adhami, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in Menlo Park, California.

Farhan is registered as a RR (Registered Representative) and started their career in finance in 2016. Farhan has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Farhan Adhami

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 Farhan Khalid Adhami'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 6, 2021 - Present

BARCLAYS CAPITAL INC.

Office #1: 155 Linfield Drive, Menlo Park, CA 94025
BD
CRD#: 19714
Menlo Park, CA
Past

December 6, 2019 - February 4, 2021

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
Houston, TX
Past

July 11, 2018 - November 8, 2019

GREENHILL & CO., LLC

BD
CRD#: 40290
HOUSTON, TX
Past

August 13, 2016 - May 29, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
HOUSTON, TX

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
California
(8/25/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2016
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 79
Date: 8/13/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BARCLAYS CAPITAL INC.
BARCLAYS | WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | WEALTH AND INVESTMENT MANAGEMENT A DIVISION OF BARCLAYS | FUNDS AND ADVISORY-AMERICAS | BZW SECURITIES INC. | BCFS - AMERICAS | BARCLAYS WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | BARCLAYS WEALTH AMERICAS | BARCLAYS WEALTH | BARCLAYS SECURITIES INC. | BARCLAYS SECURITIES INC | BARCLAYS DE ZOETE WEDD SECURITIES INC. | BARCLAYS DE ZOETE WEDD GOVERNMENT SECURITIES, INC. | BARCLAYS CAPITAL INC. | BARCLAYS CAPITAL FUND SOLUTIONS - AMERICAS | BARCLAYS CAPITAL

CRD#: 19714 / SEC#: 801-69700, 8-41342

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

Main Address
745 7th Avenue, New York, NY 10019-6801
Mailing Address
745 7th Avenue, New York, NY 10019
Phone number
(212) 526-7000
Established
Connecticut since 03/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

INVESTMENT PHILOSOPHY PORTFOLIO MULTIPLE ACCOUNTS (IPPMA) PROGRAM (10/29/2015)
PORTFOLIO MANAGEMENT PROGRAM (ETF TACTICAL ALLOCATION STRATEGIES) (8/26/2015)
SELECT ADVISORS PROGRAM (8/26/2015)
PORTFOLIO MANAGEMENT PROGRAM (EQUITY AND FIXED INCOME STRATEGIES) (8/26/2015)
ACCOMMODATION MANAGER PROGRAM (8/26/2015)
INVESTMENT ADVISOR REPRESENTATIVE PROGRAM (8/26/2015)
FIRM BROCHURE (8/26/2015)

Direct owners and executive officers

NamePositionCRD#
BARCLAYS GROUP US INC.OWNS BARCLAYS CAPITAL INC.
ABREU, JULIAN JAVIERROSFP - PRIME SERVICES5160018
JAISING, RAHULROSFP - PRIME SERVICES4754959
MATHIS, CAROL PEDERSENPRINCIPAL FINANCIAL OFFICER4322657
MAYER, ANTHONY EDWARDCHIEF RISK OFFICER8132690
MOGAVERO, ANDREW MICHAELCHIEF EXECUTIVE OFFICER3247485
O'CONNOR, CLAIRE SCHOLZBOARD DIRECTOR1907247
ROGOFF, BRADLEY WAYNEHEAD OF RESEARCH4569545
SMITH, JULIETTE SARACHIEF LEGAL OFFICER5696210
WESTWOOD, JAIPRINCIPAL OPERATIONS OFFICER4611538
ZACHARIA, ZACHARIACHIEF COMPLIANCE OFFICER2440444

Disclosures

Regulatory Event142
Civil Event4

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

BARCLAYS CAPITAL INC.

CRD#: 19714Menlo Park, CA 94025

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