Faiz S. Hassan
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.
Faiz Syed Hassan, who also goes by Faiz Hassan, was a registered financial professional .
Faiz is a previously registered financial professional and started their career in finance in 2023. Faiz had worked at 2 firms and has passed the Series 63, Series 99TO, 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
July 30, 2024 - October 11, 2024
ETC BROKERAGE SERVICES, LLC
May 22, 2023 - May 24, 2024
FIDELITY BROKERAGE SERVICES 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 99TO
Date: 7/30/2024
Operations Professional ExaminationSeries 7TO
Date: 5/20/2023
General Securities Representative ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
