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CA

Caroline E. Abdulrazak

Some features on this profile are disabled
CRD#: 3043997
CA

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.

Caroline E Abdulrazak was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 2015. Caroline had worked at 4 firms and has passed the SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 5, 2015 - December 9, 2015

PYRAMIS DISTRIBUTORS CORPORATION LLC

BD
CRD#: 146430
BOSTON, MA
Past

October 5, 2015 - February 12, 2016

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
BOSTON, MA
Past

October 5, 2015 - February 16, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

October 5, 2015 - February 17, 2016

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

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
SIE
Date: 2/17/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2015
General Securities Representative Examination

Current Firm

PD
PYRAMIS DISTRIBUTORS CORPORATION LLC
PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430 / SEC#: , 8-67821

BD
Terminated by SEC on 09/30/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/15/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIAM HOLDINGS CORP.MEMBER
CONDRON, CASEY MOOREDIRECTOR3092905
COUTO, SCOTTPRESIDENT / DIRECTOR2178859
LINDE, JASON JOHNCCO2866398
LUBY, JAMES CLAYFINOP/CFO4542482

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

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430

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