Fozia Ahmed
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.
Fozia Ahmed was a registered financial professional .
Fozia is a previously registered financial professional and started their career in finance in 2020. Fozia had worked at 4 firms and has passed the Series 63, Series 86, Series 87, 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 9, 2024 - April 16, 2025
RODMAN & RENSHAW, LLC
November 25, 2022 - August 16, 2023
D. BORAL CAPITAL
April 5, 2021 - November 23, 2022
ROTH CAPITAL PARTNERS, LLC
August 27, 2020 - April 6, 2021
BERENBERG CAPITAL MARKETS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/27/2020
General Securities Representative ExaminationCurrent Firm
RODMAN & RENSHAW, LLC
CRD#: 281264 / SEC#: , 8-69671
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
