Asem Mokaddem
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.
Asem Mokaddem was a registered financial professional .
Asem is a previously registered financial professional and started their career in finance in 2004. Asem had worked at 6 firms and has passed the Series 63, Series 79TO, 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
February 12, 2021 - April 21, 2021
KPMG CORPORATE FINANCE LLC
April 10, 2018 - December 31, 2020
RABO SECURITIES USA, INC.
May 3, 2010 - June 4, 2016
MACQUARIE CAPITAL (USA) INC.
September 22, 2008 - March 26, 2009
BARCLAYS CAPITAL INC.
March 28, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
July 6, 2004 - March 22, 2005
JEFFERIES LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
KPMG CORPORATE FINANCE LLC
CRD#: 103973 / SEC#: , 8-52462
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
