Badis Friaa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Badis Friaa was a registered financial professional .
Badis is a previously registered financial professional and started their career in finance in 2018. Badis had worked at 4 firms and has passed the Series 63, Series 79TO, Series 87, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2022 - July 21, 2025
COHEN & COMPANY SECURITIES, LLC
May 17, 2021 - September 10, 2021
B. RILEY SECURITIES, INC.
April 20, 2021 - September 9, 2021
NATIONAL SECURITIES CORPORATION
August 12, 2018 - October 8, 2020
BTIG, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 7/19/2022
Investment Banking Registered Representative ExaminationCurrent Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
