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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Syeda Husnaa Mahmood

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OAK BROOK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2b9723e4-c40a-c078-6588-660259b0e87b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 21, 2023 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 21, 2023
First registration: Mar 21, 2023
Dual registered: yes, broker-dealer
Other names: Syeda H Mahmood|SYEDA HUSNAA MAHMOOD
IAPD individual key: 7592660

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 11, 2026	n/a	yes	OAK BROOK, IL	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Feb 25, 2026	Jun 5, 2026	no	Chicago, IL	Previous registration
SAGE PRIVATE WEALTH GROUP, LLC	Independent wealth	Oct 16, 2024	Aug 21, 2025	no	Oakbrook Terrace, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 21, 2023	Oct 29, 2024	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AE WEALTH MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 5, 2026	Aug 11, 2026	67	Firm change	Ibd to wirehouse
SAGE PRIVATE WEALTH GROUP, LLC	AE WEALTH MANAGEMENT, LLC	Aug 21, 2025	Feb 25, 2026	188	Firm change	RIA to ibd
WELLS FARGO ADVISORS	SAGE PRIVATE WEALTH GROUP, LLC	Oct 29, 2024	Oct 16, 2024	-13	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Aug 11, 2026 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 25, 2026 to Jun 5, 2026factForm ADV
→ SAGE PRIVATE WEALTH GROUP, LLCRegistered adviserregistration: previous registration
Oct 16, 2024 to Aug 21, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 21, 2023 to Oct 29, 2024factForm ADV

Dated events

Occurred
Jun 5, 2026
Advisor changed firm
Syeda Husnaa Mahmood left Ae Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-11)
Form ADVobserved 5 days ago
Occurred
Aug 21, 2025
Advisor changed firm
Syeda Husnaa Mahmood left Sage Private Wealth Group, Llc for Ae Wealth Management, Llc (registered 2026-02-25)
Form ADVobserved 5 days ago
Occurred
Oct 29, 2024
Advisor changed firm
Syeda Husnaa Mahmood left Wells Fargo Advisors for Sage Private Wealth Group, Llc (registered 2024-10-16)
Form ADVobserved 5 days ago