Rafay H. Farooqui
Professional summary
Rafay Hassan Farooqui is a registered financial professional currently at SAF FINANCIAL SECURITIES LLC located in Stamford, Connecticut.
Rafay is registered as a RR (Registered Representative) and started their career in finance in 1998. Rafay has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rafay Hassan Farooqui's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2017 - Present
SAF FINANCIAL SECURITIES LLC
March 16, 2011 - April 8, 2015
CAIS CAPITAL LLC
December 23, 2010 - March 14, 2011
INDEPENDENT BROKERAGE SOLUTIONS LLC
May 1, 2003 - April 7, 2009
UBS SECURITIES LLC
September 16, 1998 - May 12, 2003
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/21/2021)
(9/22/2021)
(9/10/2021)
(1/4/2022)
(8/5/2021)
(10/17/2017)
(9/3/2021)
(10/6/2021)
(10/27/2021)
(3/1/2018)
(9/16/2021)
(9/15/2021)
(7/23/2021)
(2/7/2022)
(11/17/2021)
(7/27/2021)
(9/30/2021)
(7/28/2021)
(7/26/2021)
(9/9/2021)
(8/27/2021)
(1/3/2024)
(9/10/2021)
(9/8/2021)
(7/23/2021)
(9/29/2021)
(8/9/2021)
(9/23/2021)
(7/26/2021)
(7/20/2020)
(11/19/2021)
(1/4/2022)
(6/7/2017)
(7/23/2021)
(12/22/2021)
(9/23/2021)
(7/27/2021)
(9/17/2021)
(7/26/2021)
(2/1/2018)
(8/3/2021)
(9/10/2021)
(9/22/2021)
(1/20/2023)
(10/8/2021)
(7/26/2021)
(10/13/2021)
(10/6/2021)
(3/5/2020)
(7/23/2021)
(11/4/2021)
(10/21/2021)
(4/8/2020)
Exams
FINRA
Current Firm
SAF FINANCIAL SECURITIES LLC
CRD#: 284938 / SEC#: , 8-69820
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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