SG
Samir M. Ghafir
MACQUARIE CAPITAL (USA)
North Bethesda, MD 20852
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CRD#: 7024445
SG
Professional summary
Samir Morris Ghafir, who also goes by Sam Ghafir, Samir Ghafir, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in North Bethesda, Maryland.
Samir is registered as a RR (Registered Representative) and started their career in finance in 2018. Samir has worked at 4 firms and has passed the Series 63, Series 87, Series 7TO, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sam Ghafir | Samir Ghafir
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 Samir Morris Ghafir'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
July 19, 2022 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 11810 Grand Park Ave Suite 500, North Bethesda, MD 20852BD
CRD#: 36368
North Bethesda, MD
Past
August 28, 2020 - December 22, 2020
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Past
June 6, 2019 - July 1, 2020
CBRE SECURITIES, LLC
BD
CRD#: 151592
LAS VEGAS, NV
Past
November 7, 2018 - December 12, 2018
HEXAGON CAPITAL ALLIANCE LLC
BD
CRD#: 47981
NEWPORT BEACH, CA
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
Arkansas(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
Hawaii(2/7/2023)
RR
Idaho(2/7/2023)
RR
Illinois(2/7/2023)
RR
Indiana(2/7/2023)
RR
Iowa(2/7/2023)
RR
Kansas(2/7/2023)
RR
Kentucky(2/7/2023)
RR
Louisiana(2/7/2023)
RR
Maine(2/7/2023)
RR
Maryland(2/7/2023)
RR
Massachusetts(2/7/2023)
RR
Michigan(2/7/2023)
RR
Minnesota(2/7/2023)
RR
Mississippi(2/7/2023)
RR
Missouri(2/7/2023)
RR
Montana(2/7/2023)
RR
Nebraska(2/7/2023)
RR
Nevada(2/7/2023)
RR
New Hampshire(2/7/2023)
RR
New Jersey(2/7/2023)
RR
New Mexico(2/7/2023)
RR
New York(7/19/2022)
RR
North Carolina(2/7/2023)
RR
North Dakota(2/7/2023)
RR
Ohio(2/7/2023)
RR
Oklahoma(2/7/2023)
RR
Oregon(2/7/2023)
RR
Pennsylvania(2/7/2023)
RR
Puerto Rico(10/11/2023)
RR
Rhode Island(2/7/2023)
RR
South Carolina(2/7/2023)
RR
South Dakota(2/7/2023)
RR
Tennessee(2/7/2023)
RR
Texas(2/7/2023)
RR
Utah(2/7/2023)
RR
Vermont(2/7/2023)
RR
Virgin Islands(2/7/2023)
RR
Virginia(2/7/2023)
RR
Washington(2/7/2023)
RR
West Virginia(2/7/2023)
RR
Wisconsin(2/7/2023)
RR
Wyoming(2/7/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil 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.
