Mohammad A. Samad
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.
Mohammad Azhar Samad, who also goes by Ozzy Samad, was a registered financial professional .
Mohammad is a previously registered financial professional and started their career in finance in 1990. Mohammad had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 28, Series 4 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
January 30, 2013 - June 4, 2018
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
January 23, 2013 - June 4, 2018
NEWEDGE SECURITIES, LLC
December 17, 2010 - October 3, 2011
LPL ENTERPRISE, LLC
November 20, 2003 - December 31, 2008
AZROC SECURITIES, INC.
September 6, 2001 - March 17, 2006
AZROC SECURITIES, INC.
February 10, 2000 - November 20, 2003
AZROC CAPITAL MANAGEMENT, INC.
August 3, 1998 - October 9, 2000
BEACONSFIELD FINANCIAL SERVICES, INC.
March 10, 1998 - August 4, 1998
MUTUAL SECURITIES, INC.
December 23, 1994 - January 24, 1997
PNC BROKERAGE CORP
April 21, 1992 - December 23, 1994
PNC CAPITAL MARKETS LLC
February 16, 1990 - April 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 7/10/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
CRD#: 109771 / SEC#: 801-21527
Contact information
Red Flags
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