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KT

Karim F. Tabet

TAP SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 1994831
KT

Professional summary

Karim Fouad Tabet is a registered financial professional currently at TAP SECURITIES LLC located in New York, New York.

Karim is registered as a RR (Registered Representative) and started their career in finance in 1991. Karim has worked at 3 firms and has passed the Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karim Fouad Tabet's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 2, 2010 - Present

TAP SECURITIES LLC

Office #1: 505 Park Avenue Fl 9, New York, NY 10022
BD
CRD#: 151593
New York, NY
Past

June 29, 1998 - February 27, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 21, 1991 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TAP SECURITIES LLC
TAP SECURITIES LLC

CRD#: 151593 / SEC#: , 8-68381

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
505 Park Avenue Fl 9, New York, NY 10022
Mailing Address
505 Park Avenue Fl 9, New York, NY 10022
Phone number
(212) 909-9009
Established
Delaware since 06/16/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TAP ADVISORS LLCMANAGING MEMBER
SPINDEL, HOWARDFINOP708042
TABET, KARIM FOUADCO-CEO AND TREASURER1994831
TERRY, FREDERICK DAVIS JRAMLCO, CO-CEO, SECRETARY AND CHIEF COMPLIANCE OFFICER717165

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TAP SECURITIES LLC

CRD#: 151593New York, NY 10022

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