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Nadim M. Barakat

Some features on this profile are disabled
CRD#: 3218353
NB

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.

Nadim Mark Barakat was a registered financial professional .

Nadim is a previously registered financial professional and started their career in finance in 2004. Nadim had worked at 2 firms and has passed the Series 63, 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

August 6, 2013 - June 15, 2015

TCG SECURITIES, L.L.C.

BD
CRD#: 154788
NEW YORK, NY
Past

April 27, 2004 - October 26, 2012

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 6/4/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2004
General Securities Representative Examination

Current Firm

TS
TCG SECURITIES, L.L.C.
TCG SECURITIES L.L.C. | TCG SECURITIES, L.L.C.

CRD#: 154788 / SEC#: , 8-68672

BD
Terminated by SEC on 02/07/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/17/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CARLYLE INVESTMENT MANAGEMENT L.L.C.MEMBER
BECK, RAFAELCFO / FINOP5718571
CAMPBELL, ANNECHIEF COMPLIANCE OFFICER6132885
URQUHART, NATHAN KYLECEO AND MANAGING DIRECTOR3094317

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

TCG SECURITIES, L.L.C.

CRD#: 154788

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