Mohamed Z. Kassaoui
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.
Mohamed Zakaria Kassaoui, who also goes by Mohamed Z Kassaoui, was a registered financial professional .
Mohamed is a previously registered financial professional and started their career in finance in 2006. Mohamed had worked at 2 firms and has passed the Series 63, Series 3, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2019 - October 5, 2023
SG AMERICAS SECURITIES, LLC
January 5, 2009 - June 19, 2015
SG AMERICAS SECURITIES, LLC
September 15, 2006 - September 20, 2007
BNP PARIBAS SECURITIES CORP.
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 7TO
Date: 5/1/2019
General Securities Representative ExaminationSeries 55
Date: 12/6/2006
Limited Representative-Equity Trader ExamCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
