UH
Uzair T. Hafeez
SECONDMARKET FINANCIAL
Woodstock, GA
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CRD#: 6334267
UH
Professional summary
Uzair Tahir Hafeez is a registered financial advisor currently at SECONDMARKET FINANCIAL, LLC located in Woodstock, Georgia and NPM SECURITIES, LLC located in New York, New York.
Uzair is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Uzair has worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Uzair Tahir Hafeez's 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®
NoneExperience
Current
June 10, 2025 - Present
SECONDMARKET FINANCIAL, LLC
RIA
CRD#: 333332
Woodstock, GA
Current
July 28, 2021 - Present
NPM SECURITIES, LLC
Office #1: 3 East 28th Street 7th Floor, New York, NY 10016BD
CRD#: 168469
New York, NY
Past
October 30, 2015 - August 4, 2021
HARRISDIRECT LLC
RIA
CRD#: 42159
Cupertino, CA
Past
June 11, 2014 - August 4, 2021
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CUPERTINO, CA
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".
SF
SECONDMARKET FINANCIAL, LLC
SECONDMARKET FINANCIAL, LLC
CRD#: 333332 / SEC#: 801-131656
RIA
Registered Investment Advisory firm - (3/6/2025 Approved)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.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
Alabama(7/28/2021)
RR
Alaska(7/28/2021)
RR
Arizona(7/28/2021)
RR
Arkansas(7/28/2021)
RR
California(7/28/2021)
RR
Colorado(7/28/2021)
RR
Connecticut(7/28/2021)
RR
Delaware(7/28/2021)
RR
District of Columbia(7/28/2021)
RR
Florida(7/28/2021)
RR
Georgia(7/28/2021)
RR
Hawaii(7/28/2021)
RR
Idaho(7/28/2021)
RR
Illinois(7/28/2021)
RR
Indiana(7/28/2021)
RR
Iowa(7/28/2021)
RR
Kansas(7/28/2021)
RR
Kentucky(7/28/2021)
RR
Louisiana(7/28/2021)
RR
Maine(7/28/2021)
RR
Maryland(7/28/2021)
RR
Massachusetts(7/28/2021)
RR
Michigan(7/28/2021)
RR
Minnesota(7/28/2021)
RR
Mississippi(7/28/2021)
RR
Missouri(7/28/2021)
RR
Montana(7/28/2021)
RR
Nebraska(7/28/2021)
RR
Nevada(7/28/2021)
RR
New Hampshire(7/28/2021)
RR
New Jersey(7/28/2021)
RR
New Mexico(7/28/2021)
RR
New York(7/28/2021)
IAR
New York(6/10/2025)
RR
North Carolina(7/28/2021)
RR
North Dakota(7/28/2021)
RR
Ohio(7/28/2021)
RR
Oklahoma(7/28/2021)
RR
Oregon(7/28/2021)
RR
Pennsylvania(7/28/2021)
RR
Puerto Rico(7/28/2021)
RR
Rhode Island(7/28/2021)
RR
South Carolina(7/28/2021)
RR
South Dakota(7/28/2021)
RR
Tennessee(7/28/2021)
RR
Texas(7/28/2021)
RR
Utah(7/28/2021)
RR
Vermont(7/28/2021)
RR
Virgin Islands(7/28/2021)
RR
Virginia(7/28/2021)
RR
Washington(7/28/2021)
RR
West Virginia(7/28/2021)
RR
Wisconsin(7/28/2021)
RR
Wyoming(7/28/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SECONDMARKET FINANCIAL, LLC
SECONDMARKET FINANCIAL, LLC
CRD#: 333332 / SEC#: 801-131656
RIA
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Contact information
Main Address
3 E 28th Street 7th Floor, New York, NY 10016
Mailing Address
Phone number
(646) 968-7000
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 29,907,776 |
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.
