Home  >  BrightScope Advisor Pages  >  Nauman Karim Rana

Nauman Karim Rana

Is this you? (Click to claim profile)
Contact Advisor

Information

Other Names: Norman Rana
Firm:
Type: Dual Registration
Description

Nauman Rana is a financial professional at Investors Capital Advisory, a broker-dealer with 557 registered representatives nationwide. Nauman has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Investors Capital Corporation 7 years, 1 month Jul 2007 - Present
Gunnallen Financial 3 years, 1 month Jun 2004 - Jul 2007
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
Corporations or Other Businesses
State or Municipal Government Entities
Business Development Companies

*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
06/03/2014
08/03/2013
*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

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions