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SK

Sameer S. Karim

WEDBUSH SECURITIES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 5935644
SK

Professional summary

Sameer S Karim, who also goes by Sameer Saban Karim, is a registered financial professional currently at WEDBUSH SECURITIES INC. located in San Francisco, California and WEDBUSH & CO., LLC located in New York, New York.

Sameer is registered as a RR (Registered Representative) and started their career in finance in 2012. Sameer has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sameer Saban Karim

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) - BD

Click below to view Sameer S Karim's CRS (Customer Relationship Summary).

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

Current

September 21, 2016 - Present

WEDBUSH SECURITIES INC.

Office #1: 600 Montgomery Street 29th Floor, San Francisco, CA 94111
RIA
BD
CRD#: 877
San Francisco, CA
Current

March 25, 2024 - Present

WEDBUSH & CO., LLC

Office #1: 142 West 57th Street 12th Floor, New York, NY 10019
BD
CRD#: 328492
New York, NY
Past

June 12, 2014 - November 25, 2015

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN FRANCISCO, CA
Past

October 1, 2012 - May 15, 2014

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/3/2022)
RR
California
(9/21/2016)
RR
Colorado
(1/3/2022)
RR
Connecticut
(1/3/2022)
RR
Florida
(1/3/2022)
RR
Illinois
(1/3/2022)
RR
Maryland
(1/3/2022)
RR
Massachusetts
(1/3/2022)
RR
Michigan
(4/8/2025)
RR
Minnesota
(4/8/2025)
RR
New Jersey
(1/3/2022)
RR
New York
(1/3/2022)
RR
North Carolina
(1/3/2022)
RR
Pennsylvania
(1/3/2022)
RR
Texas
(1/3/2022)
RR
Utah
(1/3/2022)
RR
Virginia
(1/3/2022)
RR
Washington
(1/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/28/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WEDBUSH & CO., LLC
WEDBUSH & CO., LLC

CRD#: 328492 / SEC#: , 8-71158

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
142 West 57th Street 12th Floor, New York, NY, 10019
Mailing Address
142 West 57th Street 12th Floor, New York, NY, 10019
Phone number
(212) 931-7088
Established
Delaware since 06/23/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WEDBUSH FINANCIAL SERVICES, LLCSOLE MEMBER
BILLINGS, DANIEL ERICMANAGER4568232
BULGER, MARK ANDREWCCO5063497
DEMPSEY, FRANCIS BURKEPRESIDENT2428325
DRUCH, ANDREW WALTERMANAGER AND GENERAL COUNSEL1688071
HULTGREN, DONALD WAYNEMANAGER1475369
KIRKMAN, SAMANTHACFO, PFO, COO & POO6892438
WEDBUSH, GARY LANCEMANAGER2234455

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

WEDBUSH & CO., LLC

CRD#: 328492San Francisco, CA 94111

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