Nicholas E. Karim
Professional summary
Nicholas E Karim is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas E Karim's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2015 - Present
MOODY SECURITIES, LLC
Office #1: 9655 Katy Freeway Suite 600, Houston, TX 77024July 30, 2013 - July 17, 2015
STRATCAP SECURITIES, LLC
June 24, 2011 - July 23, 2013
STIRA CAPITAL MARKETS GROUP, 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
(4/8/2020)
(7/30/2015)
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(7/30/2015)
(1/29/2024)
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(9/23/2021)
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(4/8/2020)
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(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
FINRA
Current Firm
MOODY SECURITIES, LLC
CRD#: 148771 / SEC#: , 8-68069
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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