Ayaz Mahmud

WEST BRANCH CAPITAL LLC

AMHERST, MA 01002

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CRD#: 1094095

Professional summary

Ayaz Mahmud is a registered financial advisor currently at WEST BRANCH CAPITAL LLC located in Amherst, Massachusetts.

Ayaz is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Ayaz has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Ayaz Mahmud's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 31, 2005 - Present

WEST BRANCH CAPITAL LLC

Office #1: 9 Research Drive Suite 1, Amherst, MA 01002

RIA

CRD#: 133813

AMHERST, MA

Past

July 6, 1999 - December 14, 2004

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 7, 1994 - July 9, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 23, 1983 - March 29, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEST BRANCH CAPITAL LLC

DAVIS FINANCIAL SERVICES, LLC, A DIVISION OF WEST BRANCH CAPITAL, LLC | WEST BRANCH CAPITAL LLC | SINGER POTITO ASSOCIATES, A DIVISION OF WEST BRANCH CAPITAL LLC | LEGACY FINANCIAL SERVICES (LEGACY), DIVISION OF WEST BRANCH CAPITAL LLC

CRD#: 133813 / SEC#: 801-78332

RIA

Registered Investment Advisory firm - (7/24/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/18/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/31/2005)

IAR

New Hampshire
(6/20/2012)

IAR

New York
(8/17/2021)

IAR

Texas
(4/20/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/28/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/26/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/14/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/24/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/6/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

WEST BRANCH CAPITAL LLC

CRD#: 133813 / SEC#: 801-78332

RIA

Registered Investment Advisory firm - (7/24/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/18/2013 Terminated)

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Contact information

Main Address

9 Research Drive Suite 1, Amherst, MA 01002

Mailing Address

P.o. Box 2067, Amherst, MA 01004

Phone number

833-888-0534; 413-256-1225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEST BRANCH BROCHURE (FORM ADV2A) (2/13/2025)

Regulatory assets under management

Total Number of Accounts	1,217
AUM (Assets Under Management)	$ 630,872,497

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.

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Ayaz Mahmud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ayaz Mahmud's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

WEST BRANCH CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/28/2005

Series 65

Date: 2/26/1992

Series 63

Date: 3/24/1983

Series 3

Date: 4/14/1989

Series 7

Date: 3/19/1983

Series 10

Date: 1/24/2000

Series 9

Date: 12/6/1999

Current Firm

WEST BRANCH CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEST BRANCH CAPITAL LLC

TRUST BUT VERIFY

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