NK
Nahid K. Karimjee
OSAIC INSTITUTIONS
San Antonio, TX 78245
Some features on this profile are disabled
CRD#: 4603602
NK
Professional summary
Nahid Karim Karimjee, CFP®, who also goes by Nahid Karimjee, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in San Antonio, Texas.
Nahid is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nahid has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nahid Karimjee
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.
1) NAME OF THE OTHER BUSINESS:Rental Property
INVESTMENT- RELATED:No
YOUR POSITION OR TITLE:Owner
NATURE OF THE OTHER BUSINESS:Private
START DATE:5/18/2018
APPROXIMATE NUMBER OF HOURS/MONTH:1
APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0
BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:No duties. Property manager handles day to day activities.
COMPENSATION :Yes
CRS (Client Relationship Summary) - RIA
Click below to view Nahid Karim Karimjee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nahid Karim Karimjee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2019
Experience
Current
November 1, 2021 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1560 Cable Ranch Road, Suite 200, San Antonio, TX 78245RIA
BD
CRD#: 35371
San Antonio, TX
Current
November 1, 2021 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1560 Cable Ranch Road, Suite 200, San Antonio, TX 78245RIA
BD
CRD#: 35371
San Antonio, TX
Past
November 21, 2011 - October 25, 2021
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN ANTONIO, TX
Past
November 21, 2011 - October 25, 2021
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN ANTONIO, TX
Past
September 11, 2008 - November 22, 2011
SWBC INVESTMENT COMPANY
RIA
CRD#: 140994
SAN ANTONIO, TX
Past
September 11, 2008 - November 22, 2011
SWBC INVESTMENT SERVICES, LLC
BD
CRD#: 133715
SAN ANTONIO, TX
Past
May 27, 2008 - September 4, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN ANTONIO, TX
Past
May 27, 2008 - September 4, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN ANTONIO, TX
Past
December 18, 2007 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
SAN ANTONIO, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(6/30/2023)
RR
California(5/29/2024)
RR
Illinois(3/29/2023)
RR
Maine(12/20/2021)
RR
Michigan(1/5/2024)
RR
Mississippi(12/20/2021)
RR
North Carolina(9/23/2022)
RR
Oklahoma(1/28/2025)
RR
Texas(11/1/2021)
IAR
Texas(11/1/2021)
RR
Utah(4/4/2024)
RR
Washington(12/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371San Antonio, TX 78245TRUST BUT VERIFY
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