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Sufia Abdul Rauf

Some features on this profile are disabled
CRD#: 7308018
SA

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.

Sufia Abdul Rauf was a registered financial professional .

Sufia is a previously registered financial professional and started their career in finance in 2021. Sufia had worked at 2 firms and has passed the Series 63, Series 86, Series 87, Series 7TO and SIE exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2023 - March 6, 2026

HAVELI GLOBAL SECURITIES, LLC

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

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 323042

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