Nicholas E Karim
Professional Summary
Nicholas E Karim is a registered financial advisor currently at MOODY SECURITIES, LLC located in Houston, Texas. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
MOODY SECURITIES, LLC
Contact Information
Main Address
9655 Katy Freeway Suite 600, Houston, TX 77024Mailing Address
9655 Katy Freeway Suite 600, Houston, TX 77024Phone Number
(713) 977-7500Established
Delaware since 09/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
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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.
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State Registrations and Notice Filings
(4/8/2020)
(7/30/2015)
(4/8/2020)
(7/30/2015)
(1/29/2024)
(1/29/2024)
(1/29/2024)
(1/29/2024)
(9/23/2021)
(9/23/2021)
(1/29/2024)
(4/8/2020)
(4/8/2020)
(7/26/2021)
(9/23/2021)
(1/30/2024)
(4/8/2020)
(7/30/2015)
(4/8/2020)
(4/8/2020)
(1/29/2024)
(1/29/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas E Karim's CRS (Customer Relationship Summary).
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