Ziv Ohel
Professional summary
Ziv Ohel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ziv is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Ziv had worked at 6 firms, which includes CFD INVESTMENTS INC., CREATIVE FINANCIAL DESIGNS INC., AMERIPRISE FINANCIAL SERVICES LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2016 - September 7, 2017
CFD INVESTMENTS, INC.
November 21, 2016 - September 7, 2017
CREATIVE FINANCIAL DESIGNS, INC.
November 16, 2012 - October 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
November 16, 2012 - October 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2009 - November 20, 2012
MORGAN STANLEY
June 1, 2009 - November 20, 2012
MORGAN STANLEY
March 13, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 12, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 18, 1992 - November 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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