Ali K. Hashemi-nejad
Professional summary
Ali Kourosh Hashemi-nejad, who also goes by Ali Kourosh Hashemi-nejad, Kourosh Hashemi-nejad, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Buena Park, California.
Ali is registered as a RR (Registered Representative) and started their career in finance in 2016. Ali has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ali Kourosh Hashemi-nejad's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6131 Orangethorpe Ave. Suite 160, Buena Park, CA 90703May 6, 2022 - February 3, 2023
MML INVESTORS SERVICES, LLC
May 24, 2016 - February 18, 2022
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/20/2023)
(4/9/2024)
Exams
FINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
