Azaad A. Mohamed
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.
Azaad Armaan Mohamed, who also goes by Tony Mohamed, Azaad Mohamed, was a registered financial professional .
Azaad is a previously registered financial professional and started their career in finance in 1986. Azaad had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
July 5, 2019 - April 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2019 - April 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2016 - June 19, 2019
HSBC SECURITIES (USA) INC.
July 18, 2016 - June 19, 2019
HSBC SECURITIES (USA) INC.
August 19, 2015 - June 28, 2016
LPL FINANCIAL LLC
August 19, 2015 - June 28, 2016
LPL FINANCIAL LLC
July 25, 2014 - August 25, 2015
J.P. MORGAN SECURITIES LLC
July 24, 2014 - August 25, 2015
J.P. MORGAN SECURITIES LLC
March 3, 2011 - July 25, 2014
LPL FINANCIAL LLC
March 3, 2011 - July 25, 2014
LPL FINANCIAL LLC
August 4, 2010 - March 2, 2011
PRIME CAPITAL SERVICES, INC.
August 3, 2010 - March 2, 2011
ASSET & FINANCIAL PLANNING, LTD
January 25, 2008 - August 6, 2010
HSBC SECURITIES (USA) INC.
January 23, 2008 - August 6, 2010
HSBC SECURITIES (USA) INC.
November 3, 1997 - January 9, 2008
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - January 9, 2008
CHASE INVESTMENT SERVICES CORP.
August 1, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
November 16, 1993 - August 1, 1994
IFMG SECURITIES, INC.
February 23, 1993 - December 15, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - November 22, 1993
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
August 8, 1989 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
March 6, 1989 - September 13, 1989
MML INVESTORS SERVICES, LLC
November 2, 1987 - March 15, 1989
CARILLON INVESTMENTS, INC.
October 14, 1986 - September 16, 1987
METROPOLITAN LIFE INSURANCE COMPANY
October 14, 1986 - September 22, 1987
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
