Cliff A. Ghazaii
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.
Cliff Andrew Ghazaii was a registered financial professional .
Cliff is a previously registered financial professional and started their career in finance in 1986. Cliff had worked at 9 firms and has passed the Series 63, Series 55 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
May 10, 2006 - December 7, 2006
TAFFERER TRADING, LLC
May 24, 2004 - March 15, 2005
VIEWTRADE FINANCIAL
October 27, 2003 - January 14, 2004
TAFFERER TRADING, LLC
December 12, 2001 - February 20, 2002
INVESTORS CAPITAL CORP.
October 2, 1991 - December 3, 2001
CROWN FINANCIAL GROUP, INC.
September 13, 1988 - October 25, 1991
BARRETT DAY SECURITIES, INC.
January 19, 1988 - October 11, 1988
J. T. MORAN & CO., INC.
September 10, 1987 - January 4, 1988
LOMBARD SECURITIES CORP.
December 23, 1986 - September 21, 1987
LEVCO SECURITIES CORP.
June 24, 1986 - December 22, 1986
GREENTREE SECURITIES CORP.
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 55
Date: 7/17/2001
Limited Representative-Equity Trader ExamCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| 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.
