Mustafha Karim
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.
Mustafha Karim, who also goes by Mustafha A Karim, Mustafha Ahmad Karim, was a registered financial professional .
Mustafha is a previously registered financial professional and started their career in finance in 2022. Mustafha had worked at 2 firms and has passed the SIE and Series 99TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2023 - January 3, 2025
SPC CAPITAL MARKETS LLC
February 25, 2022 - September 26, 2022
SCOTIA CAPITAL (USA) INC.
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 99TO
Date: 2/11/2022
Operations Professional ExaminationCurrent Firm
SPC CAPITAL MARKETS LLC
CRD#: 304381 / SEC#: , 8-70350
Contact information
FINRA licenses (3 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.
