RH
Rizwan A. Hafeez
ROTHSCHILD & CO REDBURN
Dallas, TX 75206
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CRD#: 6010362
RH
Professional summary
Rizwan Ahmad Hafeez, who also goes by Rizwan Hafeez, is a registered financial professional currently at ROTHSCHILD & CO REDBURN located in Dallas, Texas.
Rizwan is registered as a RR (Registered Representative) and started their career in finance in 2012. Rizwan has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rizwan Hafeez
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.
CRS (Client Relationship Summary) - BD
Click below to view Rizwan Ahmad Hafeez's 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®
NoneExperience
Current
February 7, 2023 - Present
ROTHSCHILD & CO REDBURN
Office #1: 6060 North Central Expressway Suite 561, Dallas, TX 75206BD
CRD#: 140564
Dallas, TX
Past
March 14, 2022 - January 27, 2023
LEX
BD
CRD#: 304601
NEW YORK, NY
Past
July 13, 2021 - March 10, 2022
TZERO MARKETS
BD
CRD#: 304537
JERSEY CITY, NJ
Past
October 12, 2020 - June 17, 2021
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
NEW YORK, NY
Past
October 8, 2018 - October 2, 2020
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
January 4, 2018 - October 4, 2018
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
Southlake, TX
Past
May 23, 2014 - June 21, 2017
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
FORT WORTH, TX
Past
February 3, 2012 - October 4, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(2/7/2023)
RR
Alaska(2/7/2023)
RR
Arizona(2/7/2023)
RR
California(2/7/2023)
RR
Colorado(2/7/2023)
RR
Connecticut(2/7/2023)
RR
Delaware(2/7/2023)
RR
District of Columbia(2/7/2023)
RR
Florida(2/7/2023)
RR
Georgia(2/7/2023)
RR
Illinois(2/7/2023)
RR
Iowa(2/7/2023)
RR
Kansas(2/7/2023)
RR
Kentucky(2/7/2023)
RR
Maryland(2/7/2023)
RR
Massachusetts(2/7/2023)
RR
Minnesota(2/7/2023)
RR
Missouri(2/7/2023)
RR
New Hampshire(2/7/2023)
RR
New Jersey(2/7/2023)
RR
New York(2/7/2023)
RR
North Carolina(2/7/2023)
RR
Ohio(2/9/2023)
RR
Oklahoma(2/7/2023)
RR
Oregon(2/7/2023)
RR
Pennsylvania(2/7/2023)
RR
Rhode Island(2/7/2023)
RR
South Dakota(2/7/2023)
RR
Tennessee(5/28/2024)
RR
Texas(2/7/2023)
RR
Utah(2/7/2023)
RR
Vermont(2/17/2023)
RR
Virginia(2/7/2023)
RR
Washington(2/7/2023)
RR
Wisconsin(2/7/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
R&
ROTHSCHILD & CO REDBURN
REDBURN (USA) LLC | ROTHSCHILD & CO REDBURN | REDBURN PARTNERS (USA) LP | REDBURN ATLANTIC
CRD#: 140564 / SEC#: , 8-67320
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
461 Fifth Avenue 15th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 15th Floor, New York, NY 10017
Phone number
(212) 803-7300
Established
Delaware since 04/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REDBURN (EUROPE) LIMITED | PARENT COMPANY | |
| BRISTOWE, WILLIAM ROBERT | HEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN | 1798670 |
| CONNELLY, ARTHUR MARK JR. | US HEAD OF ECM | 2056930 |
| GORDON, BENJAMIN JAKE | CHIEF COMPLIANCE OFFICER | 6677911 |
| JOSEPH, ROWAN MURRAY | HEAD OF NORTH AMERICA | 5517410 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| MCELLIGOTT, CASEY MEREDITH | HEAD OF US EXECUTION | 4440554 |
| SCHACKERT, CHRISTA MARY | FINOP, PRINCIPAL FINANCIAL OFFICER | 4219093 |
Disclosures
| Regulatory Event | 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.
Company Information
ROTHSCHILD & CO REDBURN
CRD#: 140564Dallas, TX 75206TRUST BUT VERIFY
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