Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that former Illinois-based LPL Financial broker/adviser Suhail Khan, who has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Khan (CRD# 3168241).
Suhail Khan has spent 14 years in the securities industry and was most recently registered with LPL Financial in Chicago, Illinois (2013-2017). Previous registrations include Vision in Chicago, Illinois (2009-2011); US Financial Investments in Chicago, Illinois (2008-2009); World Group Securities in Duluth, Georgia (2002-2006); and WMA Securities in Duluth, Georgia (1999-2002). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 26, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 1999; Series 3 (National Commodity Futures Examination), which he obtained on June 1, 2010; Series 7 (General Securities Representative Examination), which he obtained on May 18, 2010; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 17, 1999; Series 30 (NFA Branch Manager Examination), which he obtained on September 22, 2010; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on May 31, 2000. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint.