Isaac M. Hafif
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.
Isaac Morris Hafif, who also goes by Ike Hafif, was a registered financial professional .
Isaac is a previously registered financial professional and started their career in finance in 1995. Isaac had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
November 7, 2018 - November 20, 2018
CORECAP INVESTMENTS, LLC
January 16, 2014 - November 6, 2018
FORESTERS EQUITY SERVICES, INC.
October 26, 2010 - September 29, 2011
GRADIENT ADVISORS, LLC
October 4, 2010 - December 31, 2013
GRADIENT SECURITIES, LLC
April 19, 2007 - October 5, 2010
IC ADVISORY SERVICES, INC.
November 16, 2001 - October 5, 2010
THE INVESTMENT CENTER, INC.
May 21, 1999 - November 19, 2001
SUMMIT BROKERAGE SERVICES, INC.
November 30, 1995 - April 23, 1999
OSAIC WEALTH, 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
Current Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| 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.
