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Sufia Abdul Rauf

HAVELI GLOBAL SECURITIES
Austin, TX 78701
Some features on this profile are disabled
CRD#: 7308018
SA

Professional summary

Sufia Abdul Rauf is a registered financial professional currently at HAVELI GLOBAL SECURITIES, LLC located in Austin, Texas.

Sufia is registered as a RR (Registered Representative) and started their career in finance in 2021. Sufia has worked at 2 firms and has passed the Series 63, Series 86, Series 87, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Sufia Abdul Rauf'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®
None

Experience

Current

August 16, 2023 - Present

HAVELI GLOBAL SECURITIES, LLC

Office #1: 405 Colorado St, Suite 1600, Austin, TX 78701
BD
CRD#: 323042
Austin, TX
Past

August 7, 2021 - August 15, 2022

WOLFE RESEARCH SECURITIES

BD
CRD#: 151850
New York, NY

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
Series 63
Date: 8/15/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 9/8/2021
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 8/28/2021
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7TO
Date: 8/7/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/25/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HG
HAVELI GLOBAL SECURITIES, LLC
HAVELI GLOBAL SECURITIES, LLC

CRD#: 323042 / SEC#: , 8-70971

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

Main Address
405 Colorado St Suite 1600, Austin, TX 78701
Mailing Address
405 Colorado St Suite 1600, Austin, TX 78701
Phone number
(512) 809-9092
Established
Delaware since 06/24/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HAVELI INVESTMENTS LPSOLE MEMBER
ATTANASIO, ELIZABETH MARIEFINOP5325007
BECK, ERIC JASONCHIEF COMPLIANCE OFFICER4824373
MATHEWS, JASON LAMONTCEO4135959

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

HAVELI GLOBAL SECURITIES, LLC

CRD#: 323042Austin, TX 78701

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