Mike Safaie
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.
Mike Safaie, who also goes by Mostafa Safaie, was a registered financial professional .
Mike is a previously registered financial professional and started their career in finance in 2003. Mike had worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2019 - March 16, 2020
CHURCHILL MANAGEMENT GROUP
August 1, 2016 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 2, 2015 - March 9, 2018
SCOTTRADE, INC.
May 17, 2013 - August 27, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
May 17, 2013 - August 27, 2014
ALLSTATE FINANCIAL SERVICES, LLC
February 25, 2013 - May 6, 2013
PRUCO SECURITIES, LLC.
December 17, 2012 - February 15, 2013
NYLIFE SECURITIES LLC
March 22, 2007 - October 3, 2011
TD AMERITRADE, INC.
March 22, 2007 - October 3, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 22, 2007 - October 3, 2011
TD AMERITRADE, INC.
July 29, 2004 - September 19, 2006
CHARLES SCHWAB & CO., INC.
July 29, 2004 - September 19, 2006
CHARLES SCHWAB & CO., INC.
February 2, 2004 - June 30, 2004
ESSEX NATIONAL SECURITIES, LLC
February 2, 2004 - June 30, 2004
ESSEX NATIONAL SECURITIES, LLC
October 21, 2003 - February 4, 2004
METROPOLITAN LIFE INSURANCE COMPANY
October 21, 2003 - February 4, 2004
MSI FINANCIAL SERVICES, INC.
August 8, 2003 - September 22, 2003
IDS LIFE INSURANCE COMPANY
August 8, 2003 - September 22, 2003
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
CHURCHILL MANAGEMENT GROUP
CRD#: 109651 / SEC#: 801-4211
Contact information
Regulatory assets under management
| Total Number of Accounts | 20,501 |
| AUM (Assets Under Management) | $ 10,083,906,150 |
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.
