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Chams Khwaja

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CRD#: 6906622
CK

Professional summary

Chams Khwaja was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Chams is a previously registered financial professional and started their career in finance in 2018. Prior to being barred, Chams had worked at 1 firm, which includes WORDEN CAPITAL MANAGEMENT LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean Khwaja

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 7, 2018 - April 27, 2018

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
Melville, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2018
General Securities Representative Examination

Current Firm

WC
WORDEN CAPITAL MANAGEMENT LLC
WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366 / SEC#: , 8-68010

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WORDEN, JAMIE JOHNCEO, MEMBER4637404
BODKIN, GREGORY PATRICKCCO3008389
BORGNER, RICHARD REISSCOO/MUNICIPAL PRINCIPAL/ROSFP1104666
CUCCIA, GARY JOHNFINOP1386493

Disclosures

Regulatory Event6
Arbitration12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

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