Masood Amirhamzeh
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.
Masood Amirhamzeh, who also goes by Mike Amir, Mike Amirhamzeh, was a registered financial professional .
Masood is a previously registered financial professional and started their career in finance in 1986. Masood had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - March 6, 2018
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 6, 2018
J.P. MORGAN SECURITIES LLC
March 26, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 18, 2010 - February 29, 2012
BB&T INVESTMENT SERVICES, INC.
March 15, 2010 - February 29, 2012
BB&T INVESTMENT SERVICES, INC.
December 17, 2007 - March 9, 2010
HSBC SECURITIES (USA) INC.
January 1, 2005 - March 9, 2010
HSBC SECURITIES (USA) INC.
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 11, 1996 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
April 21, 1994 - December 31, 1995
ESSEX NATIONAL SECURITIES, LLC
October 16, 1990 - May 6, 1992
NORTHEAST BROKERAGE SERVICES CORPORATION
October 2, 1987 - October 24, 1990
WAMU INVESTMENTS, INC.
April 26, 1986 - July 31, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 26, 1986 - August 3, 1987
EQUITABLE ADVISORS, LLC
February 14, 1986 - May 13, 1986
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
