Seif M. Refaat
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.
Seif Mohamed Refaat, who also goes by Seif M Refaat Abdel-aziz, Seif M. Refaat, Seif M Refaat, Seif M. Refaat, Seif Refaat, was a registered financial professional .
Seif is a previously registered financial professional and started their career in finance in 2005. Seif had worked at 9 firms and has passed the Series 65, Series 66, 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
June 7, 2021 - February 9, 2026
ASHFORD SECURITIES LLC
September 28, 2018 - June 2, 2021
CANTOR FITZGERALD INVESTMENT ADVISORS
June 26, 2018 - June 2, 2021
CANTOR FITZGERALD & CO.
April 22, 2013 - November 28, 2017
ORCHARD SECURITIES, LLC
June 6, 2012 - September 28, 2012
PROSHARE ADVISORS LLC
February 24, 2012 - September 17, 2012
PROFUNDS DISTRIBUTORS, INC.
July 24, 2008 - August 30, 2011
UBS FINANCIAL SERVICES INC.
July 24, 2008 - August 30, 2011
UBS FINANCIAL SERVICES INC.
January 10, 2008 - July 25, 2008
UBS SERVICES USA LLC
August 11, 2006 - January 11, 2008
UBS FINANCIAL SERVICES INC.
November 8, 2005 - August 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ASHFORD SECURITIES LLC
CRD#: 305330 / SEC#: , 8-70405
Contact information
FINRA licenses (4 States and Territories)
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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