SZ
Sameer Zahid
PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 7303084
SZ
Professional summary
Sameer Zahid is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.
Sameer is registered as a RR (Registered Representative) and started their career in finance in 2021. Sameer has worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Sameer Zahid'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®
NoneExperience
Current
June 18, 2021 - Present
PHILLIP CAPITAL INC.
Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653BD
CRD#: 173869
Chicago, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
Principal/Supervisory Exam
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
Current Firm
PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL
CRD#: 173869 / SEC#: , 8-69558
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
