Mahmood Tavakol
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.
Mahmood Tavakol, who also goes by Mike Tavakol, was a registered financial professional .
Mahmood is a previously registered financial professional and started their career in finance in 1987. Mahmood had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2000 - February 28, 2017
SIXTEEN SECURITIES, INC.
August 31, 1992 - January 19, 2001
MOMENTUM INDEPENDENT NETWORK INC.
January 25, 1989 - November 6, 1992
PROSPERA FINANCIAL SERVICES, INC.
November 27, 1987 - February 13, 1989
RAUSCHER PIERCE REFSNES, INC.
June 26, 1987 - November 23, 1987
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 9/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
SIXTEEN SECURITIES, INC.
CRD#: 104025 / SEC#: , 8-52479
Contact information
Documents
Red Flags
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