Meryl J. Azar
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.
Meryl Jan Azar, who also goes by Meryl J Azar, was a registered financial professional .
Meryl is a previously registered financial professional and started their career in finance in 1982. Meryl had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - April 20, 2015
FINANCIAL WEST GROUP
January 5, 2015 - April 20, 2015
FINANCIAL WEST GROUP
January 4, 2008 - December 31, 2014
CROWN CAPITAL SECURITIES, L.P.
January 2, 2008 - December 31, 2014
CROWN CAPITAL SECURITIES, L.P.
July 18, 2007 - December 31, 2007
CETERA ADVISORS LLC
July 18, 2007 - December 31, 2007
CETERA ADVISORS LLC
May 3, 2001 - July 19, 2007
LEGACY ADVISORY SERVICES, INC.
January 3, 2001 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
February 4, 1999 - December 31, 2000
BRECEK & YOUNG ADVISORS, INC.
November 13, 1998 - January 25, 1999
PENSION PLANNERS SECURITIES, INC.
July 19, 1994 - November 4, 1998
INVESTMENT ARCHITECTS, INC.
January 1, 1994 - June 1, 1994
OSAIC WEALTH, INC.
June 3, 1991 - January 1, 1994
CYPRESS CAPITAL CORPORATION
June 21, 1990 - May 7, 1991
CETERA WEALTH SERVICES, LLC
November 10, 1989 - June 25, 1990
ADVANTAGE CAPITAL CORPORATION
May 25, 1989 - November 15, 1989
KW SECURITIES CORPORATION
September 13, 1982 - May 17, 1989
ADVANTAGE CAPITAL CORPORATION
May 13, 1982 - August 24, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1982 - April 16, 1982
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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