Raffi S. Gulbenk
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.
Raffi Souren Gulbenk, who also goes by Raffi S Gulbenk, Raffi Gulbenk, was a registered financial professional .
Raffi is a previously registered financial professional and started their career in finance in 2006. Raffi had worked at 6 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
October 15, 2020 - July 3, 2023
CHATSWORTH SECURITIES LLC
August 9, 2017 - November 6, 2018
J.P. MORGAN SECURITIES LLC
August 8, 2017 - November 6, 2018
J.P. MORGAN SECURITIES LLC
March 21, 2014 - August 18, 2015
PEOPLE'S SECURITIES, INC.
October 1, 2012 - September 11, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 11, 2013
J.P. MORGAN SECURITIES LLC
October 10, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 10, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 21, 2007 - September 10, 2007
MML INVESTORS SERVICES, LLC
February 21, 2007 - September 10, 2007
MML INVESTORS SERVICES, LLC
December 4, 2006 - February 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2006 - February 14, 2007
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
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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