Abbas R. Eftekhari
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.
Abbas Roozbeh Eftekhari, who also goes by Abbas Eftekhari, Rooz Abbas Eftekhari, Rooz Eftekhari, Roozbeh Abbas Eftekhari, was a registered financial professional .
Abbas is a previously registered financial professional and started their career in finance in 1994. Abbas had worked at 10 firms and has passed the Series 65, Series 63, Series 55, 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
April 15, 2009 - January 13, 2023
GRIZZLY PEAK GROUP LLC
June 13, 2007 - January 21, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
July 6, 2006 - May 29, 2007
G-2 TRADING,LLC
October 21, 1998 - July 24, 2000
PEREGRINE FINANCIALS & SECURITIES, INC.
March 12, 1997 - October 14, 1998
JOHN DAWSON & ASSOCIATES, INC.
January 24, 1997 - March 13, 1997
INVESTORS ASSOCIATES, INC.
December 22, 1995 - March 10, 1997
CAPITAL SECURITIES OF AMERICA, INC.
September 28, 1994 - October 9, 1995
JOSEPH ROBERTS & CO., INC.
May 3, 1994 - July 20, 1994
STEIN, SHORE SECURITIES, INC.
February 22, 1994 - May 2, 1994
CHATFIELD DEAN & CO., INC.
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 55
Date: 8/16/2007
Limited Representative-Equity Trader ExamCurrent Firm
GRIZZLY PEAK GROUP LLC
CRD#: 149761 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 2,320,163 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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