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AN

Azem Nesimi

UNIVEST SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 5526393
AN

Professional summary

Azem Nesimi, who also goes by Ace Nesimi, is a registered financial professional currently at UNIVEST SECURITIES, LLC located in New York, New York.

Azem is registered as a RR (Registered Representative) and started their career in finance in 2008. Azem has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ace Nesimi

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 Azem Nesimi'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 27, 2021 - Present

UNIVEST SECURITIES, LLC

Office #1: 75 Rockefeller Plaza Suite 1838, New York, NY 10019
BD
CRD#: 36105
New York, NY
Past

January 9, 2017 - August 28, 2019

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
RED BANK, NJ
Past

October 3, 2014 - December 14, 2015

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
New York, NY
Past

March 5, 2014 - September 22, 2014

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

March 29, 2013 - February 24, 2014

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

October 17, 2011 - March 28, 2013

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

October 8, 2010 - October 10, 2011

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

April 21, 2010 - October 12, 2010

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY
Past

September 10, 2009 - April 22, 2010

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
NEW YORK, NY
Past

June 9, 2009 - July 7, 2009

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

July 28, 2008 - August 22, 2008

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(2/10/2022)
RR
Colorado
(10/6/2022)
RR
Connecticut
(10/2/2024)
RR
Florida
(2/16/2024)
RR
Georgia
(10/3/2022)
RR
Louisiana
(9/26/2022)
RR
Maryland
(9/6/2022)
RR
Michigan
(8/12/2024)
RR
Minnesota
(8/9/2024)
RR
Nebraska
(8/4/2022)
RR
New Jersey
(3/3/2022)
RR
New York
(3/15/2022)
RR
North Carolina
(9/6/2022)
RR
Pennsylvania
(8/9/2024)
RR
Texas
(9/7/2022)
RR
Washington
(3/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

US
UNIVEST SECURITIES, LLC
UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, LLC | UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, INC. | UNIVEST SECURITIES

CRD#: 36105 / SEC#: , 8-47006

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
75 Rockefeller Plaza Suite18c, New York, NY 10019
Mailing Address
75 Rockefeller Plaza, New York, NY 10019
Phone number
(212) 343-8888
Established
New York since 01/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
COMMAS INTERNATIONAL HOLDING, LLCSHAREHOLDER
FAN, XINYUECFO7171614
GUO, YIMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT BANKING CHIEF COMPLIANCE OFFICER6246079
JACOBSEN, BRYAN KNON INVESTMENT BANKING CHIEF COMPLIANCE OFFICER3055957
0

Disclosures

Regulatory Event2

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.

Company Information

UNIVEST SECURITIES, LLC

CRD#: 36105New York, NY 10019

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