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SEMIR MUTWAKIL AMIN
SEMIR M AMIN
CRD#: 1741206
IA
B
SELECT MONEY MANAGEMENT, INC.CRD#: 153256 120 VANTIS DRIVE
STE 440
ALISO VIEJO, CA 92656
STE 440
ALISO VIEJO, CA 92656
SECURITIES EQUITY GROUPCRD#: 47215 120 Vantis Drive
Suite 440
ALISO VIEJO, CA 92656
Suite 440
ALISO VIEJO, CA 92656
View By:
10/31/2018
Judgment / Lien
11/16/2006
Judgment / Lien
5/25/2004
Customer Dispute
Denied
5/29/2001
Customer Dispute
Pending
State Registrations
B
Arizona 3/8/2019
B
Kansas 12/5/2012
B
California 9/26/2005
B
Nevada 3/2/2012
IA
California 3/27/2006
B
Texas 10/3/2011
B
Colorado 9/10/2013
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/12/2013
IA
Registered with this firm since 3/27/2006
B
Registered with this firm since 9/26/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/06/2011 - 12/31/2012 | ALISO VIEJO, CA | |
B | 04/25/1996 - 08/30/2005 | SCOTTSDALE, AZ | |
B | 12/13/1993 - 04/23/1996 | LAVISTA, NE | |
B | 10/23/1992 - 11/30/1993 | FORT ATKINSON, WI | |
B | 04/19/1991 - 10/21/1992 | NEWARK, NJ | |
B | 04/19/1991 - 10/21/1992 | NEWARK, NJ | |
B | 03/21/1988 - 03/04/1991 | NEW YORK, NY | |
B | 03/21/1988 - 03/04/1991 | NEW YORK, NY | |
B | 09/22/1987 - 12/04/1987 |
NEW YORK, NY
03/21/1988 - 03/04/1991
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.