Suroor R. Karim
Professional summary
Suroor Raziuddin Karim, who also goes by Suroor Raziuddin, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Encino, California.
Suroor is registered as a RR (Registered Representative) and started their career in finance in 1999. Suroor has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Suroor Raziuddin Karim's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 18, 2024 - Present
ASSETMARK BROKERAGE, LLC
Office #1: 16633 Ventura Boulevard Suite 1400, Encino, CA 91436August 15, 2014 - May 26, 2022
ASSETMARK BROKERAGE, LLC
December 4, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
May 4, 2011 - May 26, 2022
ASSETMARK, INC.
March 25, 2011 - November 7, 2013
CAPITAL BROKERAGE CORPORATION
April 20, 2010 - December 31, 2010
EQUITABLE DISTRIBUTORS, LLC
October 29, 2009 - April 5, 2010
LIGHTSTONE SECURITIES, LLC
November 8, 2007 - July 30, 2009
COREBRIDGE CAPITAL SERVICES, INC.
November 24, 1999 - February 24, 2003
COREBRIDGE CAPITAL SERVICES, 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
FINRA
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
