Hafeez A. Esmail

MAIN MANAGEMENT

SAN FRANCISCO, CA 94108

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CRD#: 2567325

Professional summary

Hafeez Akber Esmail is a registered financial advisor currently at MAIN MANAGEMENT, LLC located in San Francisco, California.

Hafeez is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Hafeez has worked at 4 firms and has passed the Series 66, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Hafeez Akber Esmail'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

January 14, 2008 - Present

MAIN MANAGEMENT, LLC

Office #1: 601 California Street Suite 300, San Francisco, CA 94108

RIA

CRD#: 120361

SAN FRANCISCO, CA

Past

March 16, 2006 - September 25, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

March 16, 2006 - September 25, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

September 14, 2005 - March 17, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN FRANCISC, CA

Past

August 3, 2005 - March 17, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 12, 1994 - November 3, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAIN MANAGEMENT, LLC

CRD#: 120361 / SEC#: 801-61113

RIA

Registered Investment Advisory firm - (4/30/2002 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(1/14/2008)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/27/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/1/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MAIN MANAGEMENT, LLC

CRD#: 120361 / SEC#: 801-61113

RIA

Registered Investment Advisory firm - (4/30/2002 Approved)

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Contact information

Main Address

601 California Street Suite 300, San Francisco, CA 94108

Mailing Address

Phone number

(415) 217-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAIN MANAGEMENT FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 1,649,126,692

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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Advisor Monitoring

Firm Stability Insights

Hafeez A. Esmail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hafeez Akber Esmail's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MAIN MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2005

Series 31

Date: 9/27/2005

Series 7

Date: 8/1/2005

Series 6

Date: 12/8/1994

Current Firm

MAIN MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIN MANAGEMENT, LLC

TRUST BUT VERIFY

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