Hamza Farooquee

STEELPEAK WEALTH

Newport Beach, CA 92660

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CRD#: 6554985

Professional summary

Hamza Farooquee, AIF®, who also goes by Hamza Hussain Farooquee, Zack Farooquee, is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Newport Beach, California.

Hamza is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Hamza has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hamza Hussain Farooquee | Zack Farooquee

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.

1. 05/22/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hamza Farooquee'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 17, 2025 - Present

STEELPEAK WEALTH, LLC

Office #1: 610 Newport Center Drive Suite 280, Newport Beach, CA 92660

RIA

CRD#: 165168

Newport Beach, CA

Past

July 19, 2023 - January 24, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

PASADENA, CA

Past

July 19, 2023 - January 24, 2025

LPL FINANCIAL LLC

CRD#: 6413

PASADENA, CA

Past

July 3, 2019 - July 19, 2023

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

LAKEWOOD, CA

Past

July 2, 2019 - July 19, 2023

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

LAKEWOOD, CA

Past

December 23, 2016 - July 3, 2019

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ROLLING HILLS ESTATES, CA

Past

September 15, 2016 - July 3, 2019

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ROLLING HILLS ESTATES, 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".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 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.

Highlighted states indicate IAR registrations

IAR

California
(9/17/2025)

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 66

Date: 12/22/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2016

General Securities Representative Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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

Hamza Farooquee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hamza Farooquee's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/15/2016

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

TRUST BUT VERIFY

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