Seif M. Refaat

ASHFORD SECURITIES LLC

Dallas, TX 75254

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CRD#: 4931880

Professional summary

Seif Mohamed Refaat, who also goes by Seif M Refaat Abdel-aziz, Seif M. Refaat, Seif M Refaat, Seif M. Refaat, Seif Refaat, is a registered financial professional currently at ASHFORD SECURITIES LLC located in Dallas, Texas.

Seif is registered as a RR (Registered Representative) and started their career in finance in 2005. Seif has worked at 9 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Seif M Refaat Abdel-Aziz | Seif M. Refaat | Seif M 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 Mohamed Refaat's CRS (Customer Relationship Summary).

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

June 7, 2021 - Present

ASHFORD SECURITIES LLC

Office #1: 14185 Dallas Parkway, Suite 780, Dallas, TX 75254

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.

CRD#: 134

NEW YORK, NY

Past

April 22, 2013 - November 28, 2017

ORCHARD SECURITIES, LLC

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.

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.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 10, 2008 - July 25, 2008

UBS SERVICES USA LLC

CRD#: 46330

WEEHAWKEN, NJ

Past

August 11, 2006 - January 11, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 8, 2005 - August 7, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PARAMUS, NJ

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

Alabama
(6/7/2021)

Alaska
(6/7/2021)

Arizona
(6/7/2021)

Arkansas
(6/7/2021)

California
(6/7/2021)

Colorado
(6/7/2021)

Connecticut
(6/7/2021)

Delaware
(6/7/2021)

District of Columbia
(6/7/2021)

Florida
(6/7/2021)

Georgia
(6/7/2021)

Hawaii
(6/7/2021)

Idaho
(6/7/2021)

Illinois
(6/7/2021)

Indiana
(6/7/2021)

Iowa
(6/7/2021)

Kansas
(6/7/2021)

Kentucky
(6/7/2021)

Louisiana
(6/7/2021)

Maine
(6/7/2021)

Maryland
(6/7/2021)

Massachusetts
(6/7/2021)

Michigan
(6/7/2021)

Minnesota
(6/7/2021)

Mississippi
(6/7/2021)

Missouri
(6/7/2021)

Montana
(6/7/2021)

Nebraska
(6/7/2021)

Nevada
(6/7/2021)

New Hampshire
(6/7/2021)

New Jersey
(6/7/2021)

New Mexico
(6/7/2021)

New York
(6/7/2021)

North Carolina
(6/7/2021)

North Dakota
(6/7/2021)

Ohio
(6/8/2021)

Oklahoma
(6/7/2021)

Oregon
(6/7/2021)

Pennsylvania
(6/7/2021)

Puerto Rico
(6/7/2021)

Rhode Island
(6/7/2021)

South Carolina
(6/7/2021)

South Dakota
(6/7/2021)

Tennessee
(6/7/2021)

Texas
(6/7/2021)

Utah
(6/7/2021)

Vermont
(6/7/2021)

Virginia
(6/7/2021)

Washington
(6/7/2021)

West Virginia
(6/7/2021)

Wisconsin
(6/7/2021)

Wyoming
(6/7/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/28/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/28/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASHFORD SECURITIES LLC

CRD#: 305330 / SEC#: , 8-70405

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

14185 Dallas Parkway, Suite 780, Dallas, TX 75254

Mailing Address

14185 Dallas Parkway, Suite 780, Dallas, TX 75254

Phone number

(469) 729-0500

Established

Delaware since 07/15/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KYLEMORE HOLDINGS LLC	SOLE MEMBER
MOORE, PETER ALFRED JR	CHIEF COMPLIANCE OFFICER	1979755
STEIGERWALD, CARL JACOB III	CEO	1231837
SUMNER, GARRETT BRUCE JR	FINOP/ PFO/ POO	6320306

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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Firm Stability Insights

Seif M. Refaat

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seif Mohamed Refaat's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD INVESTMENT ADVISORS

CANTOR FITZGERALD & CO.

ORCHARD SECURITIES, LLC

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS SERVICES USA LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/2018

Series 66

Date: 4/28/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2005

Series 24

Date: 12/31/2018

FINRA

Current Firm

ASHFORD SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASHFORD SECURITIES LLC

TRUST BUT VERIFY

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