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ALI FARHOUMAND
CRD#: 2954514
IA
B
NEXT FINANCIAL GROUP, INC.CRD#: 46214 1001 CHESTNUT HILLS PKWY
SUITE 110
FORT WAYNE, IN 46814
SUITE 110
FORT WAYNE, IN 46814
View By:
12/9/2003
Customer Dispute
Denied
State Registrations
B
Alabama 9/9/2014
B
Michigan 9/9/2014
B
Arizona 9/9/2014
B
Mississippi 9/9/2014
B
Arkansas 9/16/2014
B
Missouri 9/9/2014
B
California 9/9/2014
B
Nevada 1/11/2016
B
Colorado 9/9/2014
B
New Hampshire 9/15/2014
B
Connecticut 9/25/2023
B
New Jersey 9/9/2014
IA
Connecticut 9/26/2023
B
New Mexico 9/9/2014
B
District of Columbia 1/2/2024
B
North Carolina 6/20/2020
B
Florida 9/9/2014
B
Ohio 9/9/2014
B
Georgia 9/12/2014
B
Oklahoma 1/2/2020
B
Illinois 9/9/2014
B
Oregon 1/4/2021
IA
Indiana 9/9/2014
B
Pennsylvania 9/9/2014
B
Indiana 9/16/2014
B
Rhode Island 5/12/2020
B
Kansas 1/2/2020
B
South Carolina 9/9/2014
B
Kentucky 9/9/2014
B
Tennessee 9/9/2014
B
Louisiana 10/6/2014
B
Texas 9/9/2014
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Louisiana 10/15/2014
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Texas 9/9/2014
B
Maine 9/10/2014
B
Vermont 9/9/2014
B
Maryland 2/24/2016
B
Virginia 9/9/2014
B
Massachusetts 9/9/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/9/2014
B
Registered with this firm since 9/9/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/02/2008 - 09/12/2014 | FORT WAYNE, IN | |
B | 08/29/2008 - 09/12/2014 | FORT WAYNE, IN | |
IA | 08/04/2006 - 09/10/2008 | FT. WAYNE, IN | |
B | 08/04/2006 - 09/10/2008 | FT. WAYNE, IN | |
IA | 03/17/1998 - 08/09/2006 | FORT WAYNE, IN | |
B | 06/30/1998 - 08/09/2006 | FORT WAYNE, IN | |
IA | 03/17/1999 - 07/02/2003 | FORT WAYNE, IN | |
B | 10/31/1997 - 06/29/1998 | WINDSOR, CT |
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.