Kamran Karoon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kamran Karoon was a registered financial professional .
Kamran is a previously registered financial professional and started their career in finance in 1997. Kamran had worked at 7 firms and has passed the Series 63, Series 65, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2008 - May 18, 2012
INVESTEC SECURITIES (US) LLC
June 15, 2006 - April 10, 2007
HSBC SECURITIES (USA) INC.
July 30, 2001 - December 20, 2002
REFCO SECURITIES, LLC
July 24, 2000 - July 20, 2001
VIEWTRADE FINANCIAL
November 19, 1998 - May 3, 2000
QUICK & REILLY, INC.
November 12, 1997 - May 13, 1998
UBS FINANCIAL SERVICES INC.
June 3, 1997 - September 25, 1997
UBS FINANCIAL SERVICES INC.
February 27, 1997 - May 8, 1997
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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