David Vafai

BFINANCE US LTD.

London, EC4R 1BN

Some features on this profile are disabled

CRD#: 2647591

Professional summary

David Vafai is a registered financial professional currently at BFINANCE US LTD. .

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 3, Series 14 and Series 24 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 David Vafai's 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

March 11, 2014 - Present

BFINANCE US LTD.

Office #1: 2nd Floor 36 Queen Street, London, EC4R 1BNOffice #2: 2nd Floor 36 Queen Street, London, EC4R 1BNOffice #3: 233 S. Wacker Drive 44th Floor, Chicago, IL 60606Office #4: Fzh 234 Srt 04th Floor Sheikh Rashid Tower, Dubai World Trade Center, Dubai

RIA

CRD#: 159903

London,

Past

October 4, 1995 - July 1, 1996

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BFINANCE US LTD.

CRD#: 159903 / SEC#: 801-113782, 8-69021

RIA

Registered Investment Advisory firm - SEC (11/6/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

Illinois
(11/5/2021)

New York
(4/7/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/9/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/17/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 6/20/2013

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/30/1995

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BFINANCE US LTD.

CRD#: 159903 / SEC#: 801-113782, 8-69021

RIA

Registered Investment Advisory firm - SEC (11/6/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2nd Floor Floor 2, London, EC4R 1BN

Mailing Address

2nd Floor 36 Queen Street, London, IL, EC4R 1BN

Phone number

+44 20 7747 8600

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

06 20 2025 BFI FORM ADV PART 2A FINAL (6/20/2025)

Direct owners and executive officers

Name	Position	CRD#
BFINANCE INTERNATIONAL LIMITED	PARENT COMPANY
GEORGE, KENNETH RONALD	FINOP/CFO	2643369
GERVAISE-JONES, SAMUEL	PRINCIPAL	6004382
VAFAI, DAVID	CEO/CCO	2647591

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.

Similar Advisors

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

Anthony Venturi

COLE WEALTH MANAGEMENT, LLC

SCOTTSDALE, AZ

Matthew Jeannes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Reno, NV

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David Vafai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Vafai's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

BFINANCE US LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/2013

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 10/17/2013

Series 7

Date: 6/20/2013

Series 3

Date: 8/30/1995

Series 14

Date: 1/2/2023

Series 24

Date: 10/22/2013

FINRA

Current Firm

BFINANCE US LTD.

Contact information

FINRA licenses (2 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

BFINANCE US LTD.

TRUST BUT VERIFY

Similar Advisors