Saad Zein

ASHTON STEWART & CO.

Miami, FL 33131

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CRD#: 2029653

Professional summary

Saad Zein, who also goes by Saad Malek Zein, Saed Malek Zein, is a registered financial professional currently at ASHTON STEWART & CO., INC. located in Miami, Florida.

Saad is registered as a RR (Registered Representative) and started their career in finance in 1996. Saad has worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Saad Malek Zein | Saed Malek Zein

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) - BD

Click below to view Saad Zein'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

September 20, 2016 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131

CRD#: 112386

Miami, FL

Past

July 13, 2015 - July 20, 2016

TORINO CAPITAL LLC

CRD#: 157525

NEW YORK, NY

Past

March 25, 2013 - April 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 11, 2011 - January 15, 2013

ICBC STANDARD SECURITIES INC.

CRD#: 35560

NEW YORK, NY

Past

September 17, 2009 - December 7, 2010

ALADDIN CAPITAL LLC

CRD#: 103766

STAMFORD, CT

Past

January 9, 2003 - February 19, 2009

COMMERZ MARKETS LLC

CRD#: 41957

LONDON,

Past

March 21, 2002 - January 6, 2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

CRD#: 24074

NEW YORK, NY

Past

March 18, 2002 - March 21, 2002

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

August 21, 1996 - April 28, 1998

CSFP CAPITAL, INC.

CRD#: 31796

NEW YORK, NY

Past

August 21, 1996 - March 31, 1999

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(9/20/2016)

Exams

State Security Law Exam

Series 63

Date: 6/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/11/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 11/24/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/20/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASHTON STEWART & CO., INC.

ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

1395 Brickell Ave Suite 800, Miami, FL 33131

Mailing Address

1395 Brickell Ave Suite 800, Miami, FL 33131

Phone number

(646) 868-5410

Established

Indiana since 09/27/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLC	SHAREHOLDER
BURMAN, ANATOLY	CEO/CCO	1652002

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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Saad Zein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Saad Zein's CRS (Customer Relationship Summary).

Certified licenses

Experience

TORINO CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ICBC STANDARD SECURITIES INC.

ALADDIN CAPITAL LLC

COMMERZ MARKETS LLC

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

COMMERZ MARKETS LLC

CSFP CAPITAL, INC.

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/2002

SIE

Date: 10/1/2018

Series 79

Date: 4/11/2016

Series 3

Date: 11/24/1998

Series 7

Date: 8/20/1996

Series 24

Date: 3/10/2004

FINRA

Current Firm

ASHTON STEWART & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASHTON STEWART & CO., INC.

TRUST BUT VERIFY

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