Mazhar Khorakiwala
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.
Mazhar Khorakiwala, who also goes by Mazhar M Khorakiwala, Mazmar M Khorakiwala, Mazhar Khorakiwala, Michael Mazer, was a registered financial professional .
Mazhar is a previously registered financial professional and started their career in finance in 1999. Mazhar had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2017 - October 27, 2021
UBS FINANCIAL SERVICES INC.
December 17, 2015 - November 15, 2017
MORGAN STANLEY
February 6, 2012 - November 15, 2017
MORGAN STANLEY
June 15, 2007 - February 6, 2012
CITIGROUP GLOBAL MARKETS INC.
August 16, 2006 - November 15, 2006
SWISS AMERICAN SECURITIES INC.
July 30, 2004 - August 14, 2006
NATIONAL FINANCIAL SERVICES LLC
November 30, 2000 - July 9, 2004
QUICK & REILLY, INC.
January 14, 2000 - November 29, 2000
GLENN MICHAEL FINANCIAL, INC.
July 2, 1999 - January 18, 2000
J.W. BARCLAY & CO., INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/22/2024
General Securities Representative ExaminationSeries 99TO
Date: 6/22/2024
Operations Professional ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
