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RK

Rijad Karabegovic

Some features on this profile are disabled
CRD#: 4649272
RK

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.

Rijad Karabegovic was a registered financial professional .

Rijad is a previously registered financial professional and started their career in finance in 2003. Rijad had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

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

November 13, 2013 - August 12, 2015

ESL INVESTMENT SERVICES, LLC

BD
CRD#: 139176
ROCHESTER, NY
Past

November 8, 2013 - August 24, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
ROCHESTER, NY
Past

January 1, 2005 - December 12, 2011

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
ROCHESTER, NY
Past

September 22, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

July 23, 2004 - September 8, 2004

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

August 4, 2003 - October 6, 2003

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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: 7/15/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/24/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EI
ESL INVESTMENT SERVICES, LLC
ESL INVESTMENT SERVICES, LLC

CRD#: 139176 / SEC#: , 8-67195

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
225 Chestnut Street, Rochester, NY 14604
Mailing Address
225 Chestnut Street, Rochester, NY 14604
Phone number
(585) 339-4475
Established
New York since 04/24/2001
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#
ESL HOLDCO LLCOWNER
DONAHOE, JOELLE LAURENCCO, AMLCO AND COMPLIANCE MANAGER2678810
IACOBELLI, LEOPRESIDENT/COO/EXECUTIVE REP1717602
ROCHE, PASCAL AFINOP/ PFO/ POO5920968

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

ESL INVESTMENT SERVICES, LLC

CRD#: 139176

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