Muhammad A. Chaudry
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.
Muhammad Ali Chaudry, who also goes by Ali Chaudry, Muhmmad Chaudry, Ali Chaudry, was a registered financial professional .
Muhammad is a previously registered financial professional and started their career in finance in 2009. Muhammad had worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2018 - October 12, 2020
CLEARBRIDGE INVESTMENTS, LLC
October 17, 2018 - October 12, 2020
FRANKLIN DISTRIBUTORS, LLC
November 25, 2015 - October 26, 2018
CITIGROUP GLOBAL MARKETS INC.
November 24, 2015 - October 26, 2018
CITIGROUP GLOBAL MARKETS INC.
October 1, 2014 - December 11, 2015
HSBC SECURITIES (USA) INC.
October 1, 2014 - December 11, 2015
HSBC SECURITIES (USA) INC.
January 9, 2013 - January 10, 2014
MORGAN STANLEY
January 9, 2013 - January 10, 2014
MORGAN STANLEY
March 26, 2010 - December 10, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2010 - December 10, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2009 - December 2, 2009
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
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: 3/28/2024
General Securities Representative ExaminationCurrent Firm
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,530 |
| AUM (Assets Under Management) | $ 184,809,812,930 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 01/27/2023 |
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.
