Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
ASSAN FAAL
CRD#: 5863258
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Previous Investment Adviser
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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
Registration History
201120122013201420152016201720182019IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2015 - 2015 (<1 year)IASTERNE AGEE ASSET MANAGEMENT, INC. (CRD# 130888)2013 - 2015 (2 years)IANATIONAL ASSET MANAGEMENT, INC. (CRD# 115927)2011 - 2013 (1 year)IAEDWARD JONES (CRD# 250)2011 - 2011 (<1 year)
Disclosure(s)
View By:
11/27/2018
Customer Dispute
Settled
6/1/2016
Regulatory
Final
4/11/2016
Customer Dispute
Settled
Previous Registration(s)
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 07/07/2015 - 10/20/2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHICAGO, IL
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 04/22/2013 - 07/07/2015 STERNE AGEE ASSET MANAGEMENT, INC. (CRD#:130888) CHICAGO, IL
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 10/21/2011 - 04/19/2013 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) LOMBARD, IL
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 02/14/2011 - 08/08/2011 EDWARD JONES (CRD#:250) ST LOUIS, MO
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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.
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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.