Shahrokh Nikkhah
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shahrokh Nikkhah, who also goes by Shahrokh Nikkhan, Nikkhan Shahrokh, was a registered financial professional .
Shahrokh is a previously registered financial professional and started their career in finance in 1984. Shahrokh had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1992 - June 30, 1992
REFCO SECURITIES, LLC
September 14, 1988 - May 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1987 - September 29, 1988
LEHMAN BROTHERS INC.
September 20, 1984 - September 25, 1987
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REFCO SECURITIES, LLC
CRD#: 14094 / SEC#: , 8-26718
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
