Rifat Spahi
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.
Rifat Spahi, who also goes by Rif Spahi, was a registered financial professional .
Rifat is a previously registered financial professional and started their career in finance in 1984. Rifat 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
October 8, 1996 - August 27, 2004
MILKIE/FERGUSON INVESTMENTS, INC.
April 20, 1989 - October 9, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
November 20, 1984 - May 6, 1989
INVEST FINANCIAL CORPORATION
October 26, 1984 - November 23, 1984
FIRST TEXAS GROUP, 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
MILKIE/FERGUSON INVESTMENTS, INC.
CRD#: 17606 / SEC#: , 8-36226
Contact information
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 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.
