Ahmad K. Sharif
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.
Ahmad Kaz Sharif, who also goes by Kaz Sharif, was a registered financial professional .
Ahmad is a previously registered financial professional and started their career in finance in 1987. Ahmad had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2008 - January 25, 2012
NEXT FINANCIAL GROUP, INC.
February 18, 2005 - February 5, 2008
BOLTON GLOBAL CAPITAL
June 15, 2002 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 26, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
July 13, 1998 - July 19, 2000
J.C. BRADFORD & CO.
June 2, 1995 - July 17, 1998
UBS FINANCIAL SERVICES INC.
October 5, 1992 - June 9, 1995
RAYMOND JAMES & ASSOCIATES, INC.
June 15, 1989 - July 7, 1989
ROTAN MOSLE INC.
May 24, 1989 - October 15, 1992
UBS FINANCIAL SERVICES INC.
December 22, 1987 - May 30, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
