Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MITRA RAFII LOFTUS
MITRA RAFII, MITRA RAFIT
CRD#: 2747774
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4655 EXECUTIVE DR 10TH FL
[VJ-RBO]
SAN DIEGO, CA 92121
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2006 (5 years)2 FIRMS2006 - Present (18 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)2000 - 2001 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2000 (2 years)
License(s)

State Registrations

B
Arizona 1/10/2008
B
Missouri 3/28/2011
B
California 12/5/2006
B
New Jersey 2/1/2016
IA
California 12/5/2006
B
New York 3/18/2008
B
Colorado 7/17/2024
B
North Carolina 12/5/2006
B
Florida 5/19/2008
B
Ohio 1/4/2019
B
Georgia 8/11/2009
B
Oregon 12/5/2006
B
Hawaii 12/5/2006
B
Pennsylvania 1/10/2008
B
Idaho 10/3/2018
B
Texas 12/5/2006
B
Illinois 3/1/2007
IA
Texas 4/19/2017
B
Kentucky 2/24/2022
B
Utah 6/30/2008
B
Massachusetts 12/5/2006
B
Vermont 4/14/2023
B
Michigan 9/11/2020
B
Washington 12/5/2006
B
Minnesota 1/12/2022
B
Wisconsin 3/24/2016

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
4655 EXECUTIVE DR 10TH FL [VJ-RBO], SAN DIEGO, CA 92121
Registered with this firm since 12/5/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4655 EXECUTIVE DR 10TH FL [VJ-RBO], SAN DIEGO, CA 92121
Registered with this firm since 12/5/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/15/2001 - 11/27/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN DIEGO, CA
B
 05/02/2001 - 11/27/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN DIEGO, CA
B
 05/30/2000 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 11/11/1997 - 05/30/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.