Shakeel Kazi
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.
Shakeel Kazi, who also goes by Sam Kazi, was a registered financial professional .
Shakeel is a previously registered financial professional and started their career in finance in 1984. Shakeel had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - February 7, 2017
PETIX & BOTTE FINANCIAL
December 14, 2011 - November 2, 2015
LPL FINANCIAL LLC
December 12, 2011 - January 25, 2017
LPL FINANCIAL LLC
April 29, 2003 - December 19, 2011
AVANTAX ADVISORY SERVICES
October 28, 1993 - December 19, 2011
AVANTAX INVESTMENT SERVICES, INC.
April 15, 1986 - October 6, 1992
FIDELITY BROKERAGE SERVICES LLC
August 14, 1985 - February 18, 1986
UBS FINANCIAL SERVICES INC.
January 2, 1985 - August 19, 1985
BLINDER, ROBINSON & CO., INC.
December 19, 1984 - December 26, 1984
CHESLEY AND DUNN, INC.
Primary Firm SEC Registration
PETIX & BOTTE FINANCIAL
CRD#: 170020 / SEC#: 801-79597
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
Series 8
Date: 11/10/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PETIX & BOTTE FINANCIAL
CRD#: 170020 / SEC#: 801-79597
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 748 |
| AUM (Assets Under Management) | $ 364,000,000 |
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.
