Mustafa M. Fazel

ETC BROKERAGE SERVICES

Dallas, TX 75240

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CRD#: 2198857

Professional summary

Mustafa M Fazel, who also goes by Mustafa Mohamedali Fazel, Mustafa M Mohamedali, Mustafa Mohamedali, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.

Mustafa is registered as a RR (Registered Representative) and started their career in finance in 1992. Mustafa has worked at 6 firms and has passed the Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mustafa Mohamedali Fazel | Mustafa M Mohamedali | Mustafa Mohamedali

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mustafa M Fazel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 8, 2023 - Present

ETC BROKERAGE SERVICES, LLC

Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240

CRD#: 145276

Dallas, TX

Past

May 25, 2007 - July 9, 2021

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

WESTLAKE, TX

Past

December 1, 2005 - June 2, 2006

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

BOSTON, MA

Past

November 20, 2002 - December 1, 2005

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

September 11, 1997 - October 28, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 19, 1992 - May 13, 1997

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 99TO

Date: 3/20/2024

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 8/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ETC BROKERAGE SERVICES, LLC

COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: , 8-67719

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

5430 Lbj Freeway Suite 320, Dallas, TX 75240

Mailing Address

1 Equity Way, Westlake, OH 44145

Phone number

(877) 403-0369

Established

Connecticut since 05/23/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DESICH, JEFFREY ALAN	VICE PRESIDENT	2771522
DESICH, RICHARD ANTHONY JR	VICE PRESIDENT	2634014
AMACHER, CATHERINE COMBS	CEO	3168184
KOSINSKI, THOMAS JAMES	FINOP	6712417
MOORE, JONATHAN KIEL	PRESIDENT, COO	2312492
STRICKLAND, JASON LEE	CHIEF COMPLIANCE OFFICER	5013990
TRUKSHANIN, MIKHAIL	CFO, PFO	7436256

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Mustafa M. Fazel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mustafa M Fazel's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL FINANCIAL SERVICES LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BROWNCO, LLC

FIDELITY BROKERAGE SERVICES LLC

CITICORP INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 99TO

Date: 3/20/2024

Series 7TO

Date: 8/8/2022

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1992

Series 24

Date: 8/8/2022

FINRA

Current Firm

ETC BROKERAGE SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ETC BROKERAGE SERVICES, LLC

TRUST BUT VERIFY

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