Mohammad Tariq Nawaz
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.
Mohammad Tariq Nawaz was a registered financial professional .
Mohammad Tariq is a previously registered financial professional and started their career in finance in 2022. Mohammad Tariq had worked at 4 firms and has passed the Series 99TO 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
July 19, 2023 - November 7, 2025
PRIME DEALER SERVICES CORP.
July 19, 2023 - November 7, 2025
MORGAN STANLEY DISTRIBUTION, INC.
July 19, 2023 - November 7, 2025
MORGAN STANLEY
December 1, 2022 - November 7, 2025
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 11/30/2022
Operations Professional ExaminationCurrent Firm
PRIME DEALER SERVICES CORP.
CRD#: 36142 / SEC#: , 8-47025
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| GRECO, ANTHONY | DIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 4853800 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| MOSKOWITZ, DOUGLAS IRWIN | CHIEF COMPLIANCE OFFICER | 2396405 |
| MURRAY, CHRISTOPHER A | DIRECTOR | 3128073 |
| RUBIN, GERALD | DIRECTOR | 2950891 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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