Kazi A. Hasan
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.
Kazi Afs Hasan, who also goes by Kazi A F S Hasan, was a registered financial professional .
Kazi is a previously registered financial professional and started their career in finance in 1978. Kazi had worked at 10 firms and has passed the Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 1992 - October 17, 1994
FAB SECURITIES OF AMERICA, INC.
July 1, 1992 - October 17, 1994
FAB SECURITIES OF AMERICA, INC.
January 14, 1992 - May 12, 1992
JOHNSON, MCKENNEY,CARR & COMPANY INCORPORATED
March 6, 1990 - October 2, 1991
HASAN GROWNEY CO. INC.
February 1, 1989 - March 17, 1990
J F LOWE & COMPANY INCORPORATED
August 17, 1988 - September 21, 1988
COLEMAN & COMPANY SECURITIES, INC.
June 6, 1988 - June 27, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
November 3, 1987 - July 6, 1988
BEARE BROTHERS & CO. INC.
June 8, 1983 - June 20, 1988
COMMONWEALTH VENTURES LTD.
December 13, 1982 - April 25, 1983
ROONEY, PACE INC.
November 27, 1978 - August 12, 1981
PRESCOTT, BALL & TURBEN, INC.
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
Current Firm
FAB SECURITIES OF AMERICA, INC.
CRD#: 28212 / SEC#: , 8-41925
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAB CAPITAL CORPORATION | ACQUIRING SOLE SHAREHOLDER | |
| SCHNEIDER, ROBERT ANDREW | SELLING MAJORITY SHAREHOLDER | 2128754 |
| SCHNEIDER, ROBERT ANDREW | RESIGNED CHAIRMAN AND PRESIDENT | 2128754 |
| HEILPERN, GERALD MARTIN | ACTING/INTERIM CHIEF OPERATING OFFICER | 241803 |
| HEILPERN, GERALD MARTIN | CHIEF OPERATING OFFICER AND DIRECTOR | 241803 |
| HEILPERN, GERALD MARTIN | RESIGNED CHIEF OPERATING OFFICER AND RESIGNED DIRECTOR | 241803 |
| MOLDTORRES, JULIA ANTIGONE | RESIGNED CHIEF FINANCIAL OFFICER (PRINCIPAL) | 2155228 |
| PARSONS, DAVID WAYNE | CHIEF LEGAL OFFICER | 2963654 |
| SCHNEIDER, SUE ELLEN | SELLING MINORITY SHAREHOLDER | |
| SCHULMAN, FREDRICK | RESIGNED CHIEF LEGAL OFFICER | 2834936 |
| STRAUSBERG, RANDY MARSHALL | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | 818732 |
| STRAUSBERG, RANDY MARSHALL | CHIEF FINANCIAL OFFICER (PRINCIPAL) | 818732 |
| STRAUSBERG, RANDY MARSHALL | ACTING/INTERIM CHIEF EXECUTIVE OFFICER | 818732 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
