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Asha Tareen

National Financial Services LLC

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About Asha Tareen

Asha Tareen is a financial professional with over 9 years of experience in the industry. Asha is currently registered with National Financial Services LLC and is a Series 7 and Series 63 licensed professional. Previously, Asha was registered with Fidelity Brokerage Services LLC. Asha is also a SIE licensed professional.

Firm Information

Asha Tareen is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Asha Tareen’s Registration & Firm History

TX

09/07/2018 - Present

National Financial Services LLC (WESTLAKE TX)

TX

12/18/2009 - 07/10/2018

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

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Licenses & Designations

BC

Issued 11/18/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Asha Tareen.
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