Afshin Ensafdaran

CABOT LODGE SECURITIES LLC

Albuquerque, NM 87111

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CRD#: 2477403

Professional summary

Afshin Ensafdaran is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Albuquerque, New Mexico.

Afshin is registered as a RR (Registered Representative) and started their career in finance in 1996. Afshin has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Afshin Ensafdaran'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

September 11, 2019 - Present

CABOT LODGE SECURITIES LLC

Office #1: 4425 Juan Tabo Ne Ste 212, Albuquerque, NM 87111

CRD#: 159712

Albuquerque, NM

Past

October 5, 2017 - September 18, 2019

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

June 14, 2010 - August 29, 2017

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

ALBUQUERQUE, NM

Past

September 8, 2009 - June 15, 2010

LPL FINANCIAL LLC

CRD#: 6413

ALBUQUERQUE, NM

Past

March 8, 2000 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

ALBUQUERQUE, NM

Past

April 9, 1996 - February 28, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/1/2019)

California
(9/11/2019)

Colorado
(11/15/2019)

New Mexico
(9/26/2019)

Texas
(9/24/2019)

Exams

State Security Law Exam

Series 63

Date: 4/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/4/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CABOT LODGE SECURITIES LLC

CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

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

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Contact information

Main Address

425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

Mailing Address

425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

Phone number

(212) 388-6200

Established

Delaware since 10/21/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS LLC	MEMBER
FEIGENBLATT, ELANA RACHEL	COO	4880188
GOULD, CRAIG MICHAEL	PRESIDENT/CEO	2367293
LEIBOWITZ, ROGER FARRELL	FINOP	2536523
SMITH, STEPHEN JOSEPH	OPTIONS PRINCIPAL	1123669
WEBB, WILLIAM DUDLEY JR	CHIEF COMPLIANCE OFFICER	1256777

Disclosures

Regulatory Event	2
Arbitration	1

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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Afshin Ensafdaran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Afshin Ensafdaran's CRS (Customer Relationship Summary).

Certified licenses

Experience

IFS SECURITIES

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 4/21/1998

SIE

Date: 10/1/2018

Series 6

Date: 4/4/1996

FINRA

Current Firm

CABOT LODGE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CABOT LODGE SECURITIES LLC

TRUST BUT VERIFY

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