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Azim Nakhooda
27 Years of Experience
Cleveland, OH
17 DisclosuresBrokerSells Insurance
Azim Nakhooda is a registered investment advisor, based in Cleveland, OH, with 27 years of industry experience. Azim is also registered as a broker, so some compensation may come from commissions on products sold.
Location
5885 Landerbrook Dr., Suite 200, Cleveland, OH, 44124
Get directionsHistory
Regulatory History (17)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2014Denied
Regulatory
April 2014Final
Customer Dispute
March 2014Settled
Regulatory
October 2013Final
Customer Dispute
June 2013Denied
Customer Dispute
June 2013Denied
Customer Dispute
May 2013Denied
Regulatory
April 2013Final
Customer Dispute
March 2013Settled
Regulatory
February 2013Final
Customer Dispute
May 2011Settled
Customer Dispute
February 2011Settled
Customer Dispute
June 2010Settled
Customer Dispute
June 2010Settled
Customer Dispute
May 2010Settled
Customer Dispute
January 2010Settled
Customer Dispute
September 2009Settled
Other Business ActivitiesSells Insurance
Azim is a 50% owner of Monarch Investment Group, LLC, a holding company for private investments, spending minimal time per month. He also holds an insurance license for sales and service, dedicating a few hours per week, and is a partner at SEIA LLC, dedicating full-time hours.
Employment History
Current Registrations
Signature Estate Securities, LLC
June 2024 - Present · 2 yrs 4 mos
Signature Estate Securities, LLCBroker
June 2024 - Present · 2 yrs 4 mos
Seia
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Cadaret, Grant & CO., INC.Broker
April 2021 - June 2024 · 3 yrs 2 mos
Cadaret Grant & CO INC
April 2021 - June 2024 · 3 yrs 2 mos
Cedar Brook Group
March 2018 - July 2024 · 6 yrs 4 mos
Securities America, INC.Broker
December 2013 - April 2021 · 7 yrs 4 mos
Securities America Advisors, INC.
December 2013 - April 2021 · 7 yrs 4 mos
Securities America Advisors, INC.
August 2005 - March 2013 · 7 yrs 7 mos
Securities America, INC.Broker
August 2005 - March 2013 · 7 yrs 7 mos
Lincoln Financial Advisors Corporation
January 2000 - August 2005 · 5 yrs 7 mos
Lincoln Financial Advisors CorporationBroker
August 1997 - August 2005 · 8 yrs
The Lincoln National Life Insurance CompanyBroker
August 1997 - August 2005 · 8 yrs
State Registrations11 states
CTFLGAMINCNYOHPASCTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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