Hamza Farooquee

Current Employers

Steelpeak Wealth, Llc

1880 Century Park East Suite 1017, Los Angeles, CA 90067 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-01-05

CA RA
APPROVED

Since 2026-01-05

Branch Locations

1880 Century Park East Suite 1017, Los Angeles, CA 90067 • United States

610 Newport Center Drive Suite 420, Newport Beach, CA 92660 • 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 Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates	Rolling Estates	CA	08/2015	07/2019
Bank Of Montreal	Beverly Hills	CA	06/2019	07/2025
Lpl Financial Llc	Lakewood	CA	06/2019	07/2025
Steelpeak Wealth, Llc	Newport Beach	CA	09/2025	Present

08/2015 → 07/2019

Raymond James & Associates

Rolling Estates, CA
06/2019 → 07/2025

Bank Of Montreal

Beverly Hills, CA
06/2019 → 07/2025

Lpl Financial Llc

Lakewood, CA
09/2025 → Present

Steelpeak Wealth, Llc

Newport Beach, CA

Previous Registrations

2023-07-19 → 2025-01-24

Lpl Financial Llc

Pasadena, CA

Lakewood, CA

Culver City, CA

Redondo Beach, CA

Beverly Hills, CA

Los Angeles, CA

Torrance, CA

Rancho Palos Verdes, CA

Gardena, CA

Torrance, CA

Santa Monica, CA
2019-07-03 → 2023-07-19

Bancwest Investment Services, Inc.

Tustin, CA

Santa Ana, CA

Santa Ana, CA

Torrance, CA

Huntington Beach, CA

Lakewood, CA

Pasadena, CA
2016-12-23 → 2019-07-03

Raymond James & Associates, Inc.

Rolling Hills Estates, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-12-22

S66 Uniform Combined State Law Examination

2016-12-22

Other Names

Zack Farooquee
Hamza Hussain Farooquee

View on SEC IAPD