Hatem Rafii
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.
Hatem Rafii, who also goes by Hatem Ziad Rafii, Hatem Rafii, was a registered financial professional .
Hatem is a previously registered financial professional and started their career in finance in 1992. Hatem had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 7 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
December 9, 2022 - June 29, 2023
CETERA INVESTMENT ADVISERS LLC
December 7, 2022 - June 29, 2023
CETERA INVESTMENT SERVICES LLC
October 1, 2019 - July 27, 2022
MORGAN STANLEY
August 13, 2019 - July 27, 2022
MORGAN STANLEY
April 1, 2008 - November 25, 2008
GILFORD SECURITIES INCORPORATED
July 31, 2007 - March 28, 2008
TAFFERER TRADING, LLC
January 19, 2005 - August 2, 2005
GLOBAL CROWN CAPITAL, LLC
July 27, 2004 - January 4, 2005
CARLIN EQUITIES, LLC
May 24, 1999 - July 26, 2002
HORIZON INVESTMENT GROUP LLC
January 27, 1995 - February 10, 1999
CIBC WORLD MARKETS CORP.
September 8, 1993 - January 26, 1995
J.P. MORGAN SECURITIES LLC
July 29, 1992 - September 23, 1993
JOSEPHTHAL & CO., INC.
May 6, 1992 - July 29, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 7TO
Date: 8/13/2019
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
