Yazeed S. Soudani
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.
Yazeed Shafiq Soudani, who also goes by Yazeed Soudani, was a registered financial professional .
Yazeed is a previously registered financial professional and started their career in finance in 2020. Yazeed had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2021 - April 26, 2022
STEELPEAK WEALTH, LLC
October 23, 2020 - January 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2020 - August 24, 2020
COREBRIDGE CAPITAL SERVICES, INC.
Primary Firm SEC Registration
STEELPEAK WEALTH, LLC
CRD#: 165168 / SEC#: 801-77132
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: 11/2/2020
General Securities Representative ExaminationSeries 6TO
Date: 1/3/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STEELPEAK WEALTH, LLC
CRD#: 165168 / SEC#: 801-77132
Contact information
SEC notice filing (53 States and Territories)
Documents
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.
