BERHANE KASSAHUN - Investment Adviser

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Detailed ReportReport

BERHANE KASSAHUN

CRD#: 1544625

Previous Investment Adviser

Previous Broker

BARRED BY FINRA OR THE SEC

FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.

The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site

Licenses

Licenses

0 Licenses

Registration History

Disclosure(s)

View By:

4/12/2021

Regulatory

Final

6/8/2020

Employment Separation After Allegations

5/27/2009

Customer Dispute

Denied

8/1/2005

Judgment / Lien

12/11/2000

Customer Dispute

Pending

7/5/2000

Customer Dispute

Closed-No Action

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	07/12/2016 - 10/11/2016	AXA ADVISORS, LLC (CRD#:6627)	COLUMBIA, MD
IA	12/05/2005 - 07/12/2016	METLIFE SECURITIES INC. (CRD#:14251)	ROCKVILLE, MD
IA	02/05/2004 - 12/31/2005	CITISTREET FINANCIAL SERVICES LLC (CRD#:107311)	COLUMBIA, MD

AXA ADVISORS, LLC (CRD#:6627)

COLUMBIA, MD

07/12/2016 - 10/11/2016

METLIFE SECURITIES INC. (CRD#:14251)

ROCKVILLE, MD

12/05/2005 - 07/12/2016

CITISTREET FINANCIAL SERVICES LLC (CRD#:107311)

COLUMBIA, MD

02/05/2004 - 12/31/2005

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Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.