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Abizar Safakat Rangwala

CRD# 2542857·Registered 1995 - 2014
Previously Registered: Being a previously registered professional could mean that Abizar 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.

Professional Summary

Abizar Safakat Rangwala, who also goes by Abby Rangwala, Abizar Rangwala, was a registered financial advisor. Abizar was a previously registered financial professional and started their career in finance 1995 - 2014. Abizar had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Abby Rangwala, Abizar Rangwala

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

CERTUSSECURITIES, INC.·CRD# 144051
BD
Charlotte, NC
August 20, 2012 - January 16, 2014
CERTUS INVESTMENT ADVISORS, LLC·CRD# 159221
RIA
Charlotte, NC
June 26, 2012 - January 16, 2014
STRUCTURED ASSET INVESTORS, LLC·CRD# 131539
RIA
Charlotte, NC
July 13, 2006 - December 9, 2011
WELLS FARGO SECURITIES, LLC·CRD# 126292
BD
Charlotte, NC
July 1, 2003 - December 2, 2011
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
February 1, 2001 - July 1, 2003
FIRST UNION CAPITAL MARKETS CORP.·CRD# 19002
BD
Charlotte, NC
February 1, 1995 - June 20, 1996

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Current Firm

CI
CERTUSSECURITIES, INC.

CERTUSSECURITIES, INC. | SAGE SOUTHEASTERN SECURITIES, INC.

CRD#: 144051 / SEC#: 8-67627
BD
Terminated by SEC on 01/29/2016

Contact Information

Established

Georgia since 01/10/2007

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CERTUSHOLDINGS, INC.HOLDING COMPANY—
BEAR, JAMES ADAM IIICHIEF COMPLIANCE OFFICER, CEO, PRESIDENT1411610
DISILVESTRO, TERI JCFO, FINOP5024025
JERRUM, LEE ANTONYCOO1280710

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 2001About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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