Mazda J. Sadeghi

ALAMO CAPITAL

Walnut Creek, CA 94596-3761

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CRD#: 2150519

Professional summary

Mazda John Sadeghi, who also goes by John Sadeghi, is a registered financial advisor currently at ALAMO CAPITAL located in Walnut Creek, California.

Mazda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mazda has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Sadeghi

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) - RIA

Click below to view Mazda John Sadeghi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mazda John Sadeghi'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

October 5, 2005 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596-3761

RIA

CRD#: 26193

Walnut Creek, CA

Current

April 9, 2003 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr Suite 180, Walnut Creek, CA 94596

RIA

CRD#: 26193

Walnut Creek, CA

Past

November 1, 2000 - January 23, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 10, 1996 - November 1, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

CRD#: 34925

SAN FRANCISCO, CA

Past

July 31, 1993 - June 12, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 26, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(4/9/2003)

IAR

California
(10/5/2005)

Colorado
(6/13/2017)

Florida
(3/25/2014)

Maryland
(11/3/2008)

Missouri
(4/9/2009)

Oregon
(4/8/2005)

Texas
(3/17/2011)

Utah
(9/27/2004)

Washington
(3/27/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/5/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/20/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/10/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALAMO CAPITAL

A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL

CRD#: 26193 / SEC#: 801-135291, 8-42293

California

Registered Investment Advisory firm - SEC (1/2/2002 Approved)

Nevada

Registered Investment Advisory firm - SEC (12/29/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

201 N Civic Dr #180, Walnut Creek, CA 94596-3761

Mailing Address

201 N Civic Dr Suite 180, Walnut Creek, CA 94596

Phone number

(925) 472-5740

Established

California since 08/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART II 04.2025 (5/2/2025)

Direct owners and executive officers

Name	Position	CRD#
MULLALLY, NANCY ANN RUEHLE	CEO	1004052
MULLALLY, NANCY ANN RUEHLE	CFO	1004052
DURDEN JR, JOHN KENNETH	FINOP	860423
KENT-ASTER, ALLISON VICTORIA	CCO	2047679
MULLALLY, WILLIAM JOHN	PRESIDENT	818827

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 103,590,000

Disclosures

Regulatory Event	3
Bond	3

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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Firm Stability Insights

Mazda J. Sadeghi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mazda John Sadeghi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mazda John Sadeghi's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALAMO CAPITAL

MORGAN STANLEY DW INC.

MORGAN STANLEY DEAN WITTER ONLINE INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2005

Series 63

Date: 7/2/1991

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 6/24/1991

Series 53

Date: 8/20/2001

Series 24

Date: 5/10/1999

FINRA

Current Firm

ALAMO CAPITAL

Contact information

FINRA licenses (41 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ALAMO CAPITAL

TRUST BUT VERIFY

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