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SK

Shamafa L. Khan

BAIN CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5010787
SK

Professional summary

Shamafa Laila Ali Khan, who also goes by Shamafa L. Ali, Shamafa Laila Ali, is a registered financial professional currently at BAIN CAPITAL MARKETS, LLC located in New York, New York.

Shamafa is registered as a RR (Registered Representative) and started their career in finance in 2005. Shamafa has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shamafa L. Ali | Shamafa Laila Ali

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 Shamafa Laila Ali Khan'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

April 14, 2025 - Present

BAIN CAPITAL MARKETS, LLC

Office #1: 535 Madison Avenue 29th Floor, New York, NY 10022
BD
CRD#: 175456
New York, NY
Past

July 1, 2009 - April 18, 2017

BARINGS SECURITIES LLC

BD
CRD#: 36929
NEW YORK, NY
Past

August 16, 2007 - June 24, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 18, 2005 - August 16, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

September 26, 2005 - August 16, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/16/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/11/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/26/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BAIN CAPITAL MARKETS, LLC
BAIN CAPITAL DISTRIBUTORS, LLC | ST. JAMES FUND DISTRIBUTORS, LLC | BAIN CAPITAL MARKETS, LLC

CRD#: 175456 / SEC#: , 8-69599

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
200 Clarendon Street, Boston, MA 02116
Mailing Address
200 Clarendon Street, Boston, MA 02116
Phone number
(617) 516-2318
Established
Delaware since 02/03/2015
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BCFD, LLCSOLE MEMBER
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
FORTINO, ROBERT ANTHONYPRINCIPAL FINANCIAL OFFICER1905741
GAGE, CHRISTINE HOGANCHIEF COMPLIANCE OFFICER6469017
GLICK, STEVENCO-PRESIDENT2911274
MCARDLE, MICHAEL PATRICKCO-PRESIDENT6466234

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

BAIN CAPITAL MARKETS, LLC

CRD#: 175456New York, NY 10022

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