Husnia Lutfi
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.
Husnia Lutfi, who also goes by Nia Lutfi, was a registered financial professional .
Husnia is a previously registered financial professional and started their career in finance in 2019. Husnia had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2023 - December 31, 2023
TD AMERITRADE, INC.
February 16, 2022 - September 5, 2025
CHARLES SCHWAB & CO., INC.
February 16, 2022 - September 5, 2025
CHARLES SCHWAB & CO., INC.
November 13, 2020 - January 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2020 - January 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2020 - September 15, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 16, 2020 - September 15, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2019 - August 8, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/26/2019
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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