RJJ PASADENA SECURITIES, INC. of HENDERSON, NV is an SEC-registered investment adviser (CRD 8425). Regulatory assets under management: $110.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Shapour Javadizadeh | DIRECTOR / SHAREHOLDER / SECRETARY | — |
| Nusheen Rena Javadizadeh | PRESIDENT / CHIEF COMPLIANCE OFFICER / DIRECTOR / SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-04-18 | regulatory | THE NEVADA SECURITIES DIVISION STATED THAT THE FIRM DID NOT OBTAIN ANNUAL CERTIFICATION OF CLIENT FUNDS AND SECURITIES AND DID NOT PROPERLY DISCLOSE FEES CHARGED TO CLIENTS. THE FIRM SETTLED THE MATTER FOR $21,000. | Final | $21K |
| 2020-10-07 | regulatory | THE FIRM WAS FOUND TO HAVE VIOLATED FINRA RULE 3110, 2360, AND 2010, IN THAT IT CONDUCTED OPTIONS TRADING AFTER ONE OF TWO REQUIRED OPTIONS PRINCIPALS LEFT THE FIRM, AND BEFORE A NEW, SECOND OPTIONS PRINCIPAL WAS PUT IN PLACE. ALL TRADES WERE MONITORED BY THE FIRM'S GENERAL SECURITIES PRINCIPAL. | Final | $5K |
| 2009-10-29 | regulatory | CONDUCTED SECURITIES BUSINESS IN THIS STATE WITHOUT THE BENEFIT OF LAWFUL REGISTRATION | Final | $2K |
| 2008-10-15 | regulatory | MICHAEL JAMES GILHOOLY; RJJ PASADENA SECURITIES, INC. S-07-466-08-CO01-CONSENT ORDER ON OCTOBER 15, 2008, THE SECURITIES DIVISION ENTERED INTO A CONSENT ORDER, S-07-466-08-CO01, WITH MICHAEL JAMES GILHOOLY AND RJJ PASADENA SECURITIES, INC. (COLLECTIVELY "RESPONDENTS"). THE SECURITIES DIVISION HAD PR… | Final | $3K |
| 2008-08-18 | regulatory | THE DIVISION OF SECURITIES AND RETAIL FRANCHISING ALLEGED THAT THE DEFENDANT VIOLATED THE FOLLOWING PROVISION OF THE VIRGINIA SECURITIES ACT AND OF THE COMMISSIONS RULES AND REGULATIONS: (1) SECTION 13.1-504 A (I) OF THE VIRGINIA SECURITIES ACT BY EXECUTING SECURITIES TRANSACTIONS FOR VIRGINIA RESID… | Final | $3K |
| 2008-04-15 | regulatory | RESPONDENTS PENDING APPLICATION FOR REGISTRATION AS A DEALER IN THE STATE OF ILLINOIS IS SUBJECT TO DENIAL PURSUANT TO SECTIONS 12.A., 12.C. AND 8.E(1)(G) OF THE ILLINOIS SECURITIES LAW. | Final | $2K |