Ali C. Mostafavi

DEALERWEB LLC

NEW YORK, NY 10167

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CRD#: 4633759

Professional summary

Ali Christopher Mostafavi, who also goes by Ali C Mostafavi, is a registered financial professional currently at DEALERWEB LLC located in New York, New York and TRADEWEB DIRECT LLC located in New York, New York.

Ali is registered as a RR (Registered Representative) and started their career in finance in 2003. Ali has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ali C Mostafavi

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 Ali Christopher Mostafavi'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

May 18, 2018 - Present

DEALERWEB LLC

Office #1: 245 Park Avenue, New York, NY 10167

CRD#: 19662

NEW YORK, NY

Current

May 22, 2018 - Present

TRADEWEB DIRECT LLC

Office #1: 245 Park Avenue Floor 30, New York, NY 10167

CRD#: 103787

NEW YORK, NY

Past

February 26, 2020 - November 13, 2024

TRADEWEB LLC

CRD#: 42759

NEW YORK, NY

Past

November 21, 2006 - November 20, 2017

ICE BONDS SECURITIES CORPORATION

CRD#: 123635

NEW YORK, NY

Past

January 11, 2006 - December 7, 2006

CREDITEX GROUP, INC.

CRD#: 47847

NEW YORK, NY

Past

March 26, 2004 - January 5, 2006

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

MCLEAN, VA

Past

April 11, 2003 - January 5, 2006

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

New York
(5/18/2018)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/21/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/10/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRADEWEB DIRECT LLC

BONDDESK TRADING LLC | TRADEWEB DIRECT LLC

CRD#: 103787 / SEC#: , 8-52278

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

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Contact information

Main Address

245 Park Avenue, New York, NY 10167

Mailing Address

245 Park Avenue, New York, NY 10167

Phone number

(212) 808-0004

Established

Delaware since 11/03/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BONDDESK GROUP LLC	OWNER
BRUNER, CHRISTIAN ADAM	BOARD MEMBER	5661505
CAHALANE, JOHN JOSEPH	PRESIDENT	2922033
CLACK, AMY	BOARD MEMBER	4882071
FRIEDMAN, DOUGLAS L.	GENERAL COUNSEL	5121291
MCGUIRE, MICHAEL TERRENCE	CHIEF COMPLIANCE OFFICER	2267871
PITTINSKY, JONATHAN DAVID	CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL	4291263
SERRAO, ASHLEY NEIL	BOARD MEMBER	5360541
WOOD, ELISABETH KIRBY	BOARD MEMBER	4929181

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Ali C. Mostafavi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ali Christopher Mostafavi's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADEWEB DIRECT LLC

TRADEWEB LLC

ICE BONDS SECURITIES CORPORATION

CREDITEX GROUP, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/21/2004

Series 63

Date: 5/2/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2004

Series 6

Date: 4/10/2003

Series 24

Date: 8/10/2009

FINRA

Current Firm

TRADEWEB DIRECT LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRADEWEB DIRECT LLC

TRUST BUT VERIFY

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