Mazhar Mahmood

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-05-03
TX	RA	APPROVED_RES	2024-05-02

CA RA
APPROVED

Since 2024-05-03
TX RA
APPROVED_RES

Since 2024-05-02

Branch Locations

2050 Main Street, Suite 500, Irvine, CA 92614 • United States

Dana Point, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Llc	Irvine	CA	01/1998	05/2024
Equitable Advisors, Llc	New York	NY	05/2024	Present

01/1998 → 05/2024

Ameriprise Financial Services, Llc

Irvine, CA
05/2024 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

1999-09-03 → 2024-05-09

Ameriprise Financial Services, Llc

Irvine, CA

Irvine, CA

Other Businesses

Owner of the J.K.Bailey & Associates,LLC, holds rental property

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-03
S63	Uniform Securities Agent State Law Examination	1997-07-17

S65 Uniform Investment Adviser Law Examination

1999-09-03
S63 Uniform Securities Agent State Law Examination

1997-07-17

View on SEC IAPD

Current Employers

Equitable Advisors, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews