Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CAMERON AZAD
CRD#: 1112736
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1989 - Present (36 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1986 - 1989 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1986 (3 years)
Disclosure(s)
View By:
12/25/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/15/2012
B
Missouri 9/29/2022
B
Arizona 4/13/2015
B
Nevada 4/20/1989
B
California 4/27/1989
B
New Hampshire 4/24/2023
IA
California 7/8/1997
B
New Jersey 6/23/2014
B
Colorado 2/10/2014
B
New Mexico 11/12/2014
B
Connecticut 4/24/2023
B
New York 4/20/1989
B
Delaware 5/13/2008
B
North Carolina 9/25/2019
B
Florida 4/1/2013
IA
North Carolina 1/6/2025
B
Georgia 4/24/2023
B
Ohio 12/20/2019
B
Hawaii 11/5/2007
B
Oregon 11/30/2021
B
Idaho 10/22/1998
B
Pennsylvania 4/24/2023
B
Illinois 1/16/2018
B
Rhode Island 9/8/2020
B
Indiana 4/24/2023
B
South Carolina 4/24/2023
B
Kansas 5/1/2009
B
South Dakota 4/24/2023
IA
Kansas 8/14/2023
B
Tennessee 4/24/2023
B
Kentucky 4/24/2023
B
Texas 1/4/2022
B
Louisiana 4/24/2023
IA
Texas 6/23/2022
B
Maine 2/5/2018
B
Utah 3/24/2022
B
Maryland 6/15/2012
B
Virgin Islands 4/24/2023
B
Massachusetts 4/24/2023
B
Virginia 4/24/2023
B
Michigan 4/24/2023
B
Washington 2/9/1994
B
Minnesota 3/26/2009
B
Wyoming 4/24/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
La Canada, CA
Registered with this firm since 7/8/1997
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
La Canada, CA
Registered with this firm since 4/20/1989
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/14/1986 - 06/03/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
 04/19/1983 - 04/23/1986 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.