Omar I. Kariuki
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.
Omar Ibn Kariuki was a registered financial professional .
Omar is a previously registered financial professional and started their career in finance in 2000. Omar had worked at 6 firms and has passed the Series 63, SIE, 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
September 6, 2016 - October 10, 2022
SANTANDER INVESTMENT SECURITIES INC.
July 19, 2013 - September 1, 2016
MORGAN STANLEY & CO. LLC
January 7, 2013 - July 19, 2013
JEFFERIES LLC
October 22, 2008 - November 21, 2012
UBS SECURITIES LLC
December 1, 2005 - February 21, 2006
FRANKLIN DISTRIBUTORS, LLC
July 10, 2000 - December 1, 2005
CITIGROUP GLOBAL MARKETS 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
Current Firm
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
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.
