Mohammad F. Naqvi

PENTA CAPITAL STRATEGIES LLC

Livingston, NJ

Some features on this profile are disabled

CRD#: 6692360

Professional summary

Mohammad Farhan Haider Naqvi is a registered financial advisor currently at PENTA CAPITAL STRATEGIES LLC located in Livingston, New Jersey.

Mohammad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Mohammad has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Mohammad Farhan Haider Naqvi's 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

October 21, 2016 - Present

PENTA CAPITAL STRATEGIES LLC

RIA

CRD#: 284791

Livingston, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(10/21/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2016

Uniform Investment Adviser Law Examination

Current Firm

PENTA CAPITAL STRATEGIES LLC

CRD#: 284791 / SEC#:

Maryland

Registered Investment Advisory firm - (8/16/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Livingston, NJ

Mailing Address

Phone number

(862) 262-8520

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 44,472

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mohammad F. Naqvi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mohammad Farhan Haider Naqvi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENTA CAPITAL STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2016

Current Firm

PENTA CAPITAL STRATEGIES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENTA CAPITAL STRATEGIES LLC

TRUST BUT VERIFY

Similar Advisors