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Nauman Karim Rana

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Information

Other Names: Norman Rana
Firm:
Type: SEC and FINRA Registered
Description

Nauman Rana is a financial professional at J.P. Morgan Securities LLC, a broker-dealer with over 26,400 registered representatives nationwide. Nauman has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
J.P. Morgan Securities LLC 2 months, 3 weeks Mar 2015 - Present
Investors Capital Corp 7 years, 7 months Jul 2007 - Feb 2015
Gunnallen Financial 3 years, 1 month Jun 2004 - Jul 2007
Baruch College 5 years, 5 months Sep 2002 - Feb 2008
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 05/12/2012
General Securities Principal ExaminationSeries 24 01/09/2012
Registered Options Principal ExaminationSeries 4 06/02/2001
Uniform Securities Agent State Law ExaminationSeries 63 03/17/1999
General Securities Representative ExaminationSeries 7 02/11/1999

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Nauman Karim Rana has not answered any questions on Financial Q&A.

Top Guides

Nauman Karim Rana has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
04/05/2015
04/01/2015
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Performance-based Fees