Ian L. Mahmud

WEST BRANCH CAPITAL LLC

Amherst, MA 01002

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CRD#: 5929233

Professional summary

Ian L Mahmud, who also goes by Ian Lawrence Mahmud, Ian Mahmud, is a registered financial advisor currently at WEST BRANCH CAPITAL LLC located in Amherst, Massachusetts.

Ian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Ian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ian Lawrence Mahmud | Ian Mahmud

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 Ian L Mahmud'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

May 17, 2024 - Present

WEST BRANCH CAPITAL LLC

Office #1: 9 Research Drive Suite 1, Amherst, MA 01002

RIA

CRD#: 133813

Amherst, MA

Past

October 12, 2021 - February 26, 2024

CENTERVIEW PARTNERS LLC

CRD#: 133796

NEW YORK, NY

Past

July 27, 2020 - October 8, 2021

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 11, 2018 - August 24, 2018

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 8, 2012 - May 24, 2018

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

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".

WEST BRANCH CAPITAL LLC

DAVIS FINANCIAL SERVICES, LLC, A DIVISION OF WEST BRANCH CAPITAL, LLC | WEST BRANCH CAPITAL LLC | SINGER POTITO ASSOCIATES, A DIVISION OF WEST BRANCH CAPITAL LLC | LEGACY FINANCIAL SERVICES (LEGACY), DIVISION OF WEST BRANCH CAPITAL LLC

CRD#: 133813 / SEC#: 801-78332

RIA

Registered Investment Advisory firm - (7/24/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/18/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(6/10/2024)

IAR

New Hampshire
(5/17/2024)

IAR

New York
(5/17/2024)

IAR

Texas
(5/17/2024)

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: 5/7/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 6/29/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/9/2015

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 4/6/2015

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 8/7/2012

Investment Banking Registered Representative Examination

Current Firm

WEST BRANCH CAPITAL LLC

CRD#: 133813 / SEC#: 801-78332

RIA

Registered Investment Advisory firm - (7/24/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/18/2013 Terminated)

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Contact information

Main Address

9 Research Drive Suite 1, Amherst, MA 01002

Mailing Address

P.o. Box 2067, Amherst, MA 01004

Phone number

833-888-0534; 413-256-1225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEST BRANCH BROCHURE (FORM ADV2A) (2/13/2025)

Regulatory assets under management

Total Number of Accounts	1,217
AUM (Assets Under Management)	$ 630,872,497

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

Ian L. Mahmud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian L Mahmud's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTERVIEW PARTNERS LLC

CREDIT SUISSE SECURITIES (USA) LLC

UBS SECURITIES LLC

BARCLAYS CAPITAL INC.

Primary Firm SEC Registration

WEST BRANCH CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2024

Series 63

Date: 8/13/2012

SIE

Date: 8/24/2018

Series 87

Date: 6/29/2015

Series 86

Date: 6/9/2015

Series 7

Date: 4/6/2015

Series 79

Date: 8/7/2012

Current Firm

WEST BRANCH CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEST BRANCH CAPITAL LLC

TRUST BUT VERIFY

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