Rafi M. Khan
Professional summary
Rafi Mohamed Khan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rafi is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Rafi had worked at 8 firms, which includes JOSEPH CHARLES & ASSOC. INC., SHAMROCK PARTNERS LTD, MONACO SECURITIES INC., REYNOLDS KENDRICK STRATTON INC., GLICKENHAUS & CO., MEYERS SECURITIES CORPORATION, WEDBUSH SECURITIES INC., MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1998 - August 11, 1998
JOSEPH CHARLES & ASSOC., INC.
November 28, 1994 - December 30, 1996
SHAMROCK PARTNERS, LTD
October 18, 1993 - October 25, 1994
MONACO SECURITIES, INC.
March 23, 1993 - October 11, 1993
REYNOLDS KENDRICK STRATTON, INC.
March 19, 1993 - March 26, 1993
GLICKENHAUS & CO.
February 5, 1990 - April 2, 1993
MEYERS SECURITIES CORPORATION
November 23, 1988 - January 24, 1990
WEDBUSH SECURITIES INC.
February 23, 1988 - January 27, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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