Bouabuchar N. Munshi
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.
Bouabuchar Nmn Munshi, who also goes by Bouabuchar Klavikorn, June Klavikorn, Bouabuchar Munshi, June Munshi, Bouabuchar June Yu, Bouabuchar K Yu, Bouabuchar Yu, June K Yu, June Yu, was a registered financial professional .
Bouabuchar is a previously registered financial professional and started their career in finance in 1999. Bouabuchar had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 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
April 19, 2011 - December 13, 2023
CC SECURITIES, LLC
June 29, 2009 - April 25, 2011
VCAP SECURITIES, LLC
September 26, 2006 - July 12, 2007
LEHMAN BROTHERS INC.
July 1, 2003 - August 11, 2006
WELLS FARGO SECURITIES, LLC
July 11, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 6, 1999 - January 10, 2001
PRUDENTIAL EQUITY GROUP, 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CC SECURITIES, LLC
CRD#: 153523 / SEC#: , 8-68546
Contact information
FINRA licenses (28 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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