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SR

Seif M. Refaat

EAGLE POINT SECURITIES
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4931880
SR

Professional summary

Seif M Refaat, who also goes by Seif M Refaat Abdel-aziz, Seif M. Refaat, Seif M Refaat, Seif Mohamed Refaat, Seif M. Refaat, Seif Refaat, is a registered financial professional currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut.

Seif is registered as a RR (Registered Representative) and started their career in finance in 2005. Seif has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seif M Refaat Abdel-Aziz | Seif M. Refaat | Seif M Refaat | Seif Mohamed Refaat | Seif M. Refaat | Seif Refaat

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 Seif M Refaat'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

March 19, 2026 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830
BD
CRD#: 324528
Greenwich, CT
Past

June 7, 2021 - February 9, 2026

ASHFORD SECURITIES LLC

BD
CRD#: 305330
DALLAS, TX
Past

September 28, 2018 - June 2, 2021

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA
CRD#: 159296
NEW YORK, NY
Past

June 26, 2018 - June 2, 2021

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

April 22, 2013 - November 28, 2017

ORCHARD SECURITIES, LLC

BD
CRD#: 133378
NEW YORK, NY
Past

June 6, 2012 - September 28, 2012

PROSHARE ADVISORS LLC

RIA
CRD#: 134155
BETHESDA, MD
Past

February 24, 2012 - September 17, 2012

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
BETHESDA, MD
Past

July 24, 2008 - August 30, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

July 24, 2008 - August 30, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 10, 2008 - July 25, 2008

UBS SERVICES USA LLC

BD
CRD#: 46330
WEEHAWKEN, NJ
Past

August 11, 2006 - January 11, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 8, 2005 - August 7, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PARAMUS, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(3/19/2026)
RR
Alaska
(3/19/2026)
RR
Arizona
(3/19/2026)
RR
Arkansas
(3/19/2026)
RR
California
(3/19/2026)
RR
Colorado
(3/19/2026)
RR
Connecticut
(3/19/2026)
RR
Delaware
(3/19/2026)
RR
District of Columbia
(3/19/2026)
RR
Florida
(3/19/2026)
RR
Georgia
(3/19/2026)
RR
Hawaii
(3/19/2026)
RR
Idaho
(3/19/2026)
RR
Illinois
(3/19/2026)
RR
Indiana
(3/19/2026)
RR
Iowa
(3/19/2026)
RR
Kansas
(3/19/2026)
RR
Kentucky
(3/19/2026)
RR
Louisiana
(3/19/2026)
RR
Maine
(3/19/2026)
RR
Maryland
(3/19/2026)
RR
Massachusetts
(3/19/2026)
RR
Michigan
(3/19/2026)
RR
Minnesota
(3/19/2026)
RR
Mississippi
(3/19/2026)
RR
Missouri
(3/19/2026)
RR
Montana
(3/19/2026)
RR
Nebraska
(3/19/2026)
RR
Nevada
(3/19/2026)
RR
New Hampshire
(3/19/2026)
RR
New Jersey
(3/19/2026)
RR
New Mexico
(3/19/2026)
RR
New York
(3/19/2026)
RR
North Carolina
(3/19/2026)
RR
North Dakota
(3/19/2026)
RR
Ohio
(3/20/2026)
RR
Oklahoma
(3/19/2026)
RR
Oregon
(3/19/2026)
RR
Pennsylvania
(3/19/2026)
RR
Puerto Rico
(3/19/2026)
RR
Rhode Island
(3/19/2026)
RR
South Carolina
(3/19/2026)
RR
South Dakota
(3/19/2026)
RR
Tennessee
(3/19/2026)
RR
Texas
(3/19/2026)
RR
Utah
(3/19/2026)
RR
Vermont
(3/19/2026)
RR
Virgin Islands
(3/19/2026)
RR
Virginia
(3/19/2026)
RR
Washington
(3/19/2026)
RR
West Virginia
(3/19/2026)
RR
Wisconsin
(3/19/2026)
RR
Wyoming
(3/19/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/28/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/28/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/31/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EP
EAGLE POINT SECURITIES LLC
EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Mailing Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Phone number
(203) 340-8565
Established
Delaware since 11/29/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EAGLE POINT HOLDINGS LPSOLE MEMBER
CHUNG, MICHAEL NMNFINOP/PFO5739877
DAIGLE, JENNIFFER ALYCEVICE PRESIDENT2620553
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER (POO)4197747
FOX, GERHARD ROBERTCHIEF COMPLIANCE OFFICER2796860
ROTH, JOSEPH HARRISPRESIDENT7673254

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.

Company Information

EAGLE POINT SECURITIES LLC

CRD#: 324528Greenwich, CT 06830

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