Mohammad R. Hassan
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.
Mohammad Rofiqul Hassan, who also goes by Rafi Hassan, was a registered financial professional .
Mohammad is a previously registered financial professional and started their career in finance in 2007. Mohammad had worked at 4 firms and has passed the Series 63, Series 87, Series 86 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
September 21, 2012 - January 9, 2013
CAPSTONE INVESTMENTS
June 23, 2011 - September 12, 2012
JEFFERIES LLC
May 24, 2010 - May 10, 2011
SUSQUEHANNA FINANCIAL GROUP, LLLP
July 10, 2007 - May 28, 2010
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPSTONE INVESTMENTS
CRD#: 41400 / SEC#: , 8-49400
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
