Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mustufa? Claim Your ProfileMustufa Shah Khan is a financial advisor who has been in the industry since 2001. Currently registered with Daiwa Capital Markets America Inc., Mustufa is a financial professional with extensive experience and a wide range of licenses and certifications. Mustufa holds the Series 7, Series 24, Series 55, Series 57TO, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CA
11/24/2008 - Present
Daiwa Capital Markets America Inc. (SAN FRANCISCO CA)
NY
10/04/2006 - 06/06/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
02/10/2006 - 05/17/2006
ABN AMRO INCORPORATED (NEW YORK NY)
NY
10/12/1999 - 02/17/2005
BARCLAYS GLOBAL INVESTORS SERVICES (NEW YORK NY)
BC
Issued 12/19/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/2018
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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