Scott M. Yazujian

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CRD#: 2894972

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.

Scott M Yazujian, who also goes by Scott Yazujian, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Yazujian

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 28, 2019 - November 11, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

Durham, NC

Past

August 28, 2019 - December 13, 2023

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

Boca Raton, FL

Past

July 18, 2008 - December 18, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

RALEIGH, NC

Past

July 18, 2008 - December 18, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

RALEIGH, NC

Past

April 15, 2008 - June 10, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

PRINCETON, NJ

Past

April 14, 2008 - June 10, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PRINCETON, NJ

Past

January 2, 2001 - April 14, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

PHILADELPHIA, PA

Past

March 30, 2000 - March 27, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

KING OF PRUSSIA, PA

Past

September 22, 1999 - February 15, 2000

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

July 14, 1999 - July 27, 1999

SUMMIT FINANCIAL SERVICES GROUP, INC.

CRD#: 7246

BETHLEHEM, PA

Past

July 7, 1997 - July 8, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, 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".

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 7/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/1997

General Securities Representative Examination

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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Contact information

Main Address

320 Park Avenue, New York, NY 10022-6839

Mailing Address

Phone number

(212) 224-1600

Established

New York since 01/03/1945

Firm type

Corporation

Fiscal year end

December

# of Employees

753

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LU, KATHRYN ANNE	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	5605579

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 335,621,798

Disclosures

Regulatory Event

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

Scott M. Yazujian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CITISTREET EQUITIES LLC

SUMMIT FINANCIAL SERVICES GROUP, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1997

Series 63

Date: 7/15/1997

SIE

Date: 12/18/2017

Series 7

Date: 7/3/1997

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

TRUST BUT VERIFY

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