Karen H. Tweed
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.
Karen Homan Tweed, who also goes by Karen Lee Biggins, Karen Homan Keeney, Karen H Tweed, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1982. Karen had worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2004 - August 15, 2012
INVESTMENT CENTERS OF AMERICA, INC.
March 30, 2000 - August 15, 2012
INVESTMENT CENTERS OF AMERICA, INC.
February 20, 1997 - March 30, 2000
INVESTMENT CENTERS OF AMERICA, INC.
July 1, 1996 - December 1, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 21, 1996 - July 1, 1996
NATIONWIDE SECURITIES, LLC
February 1, 1995 - January 16, 1996
DWS DISTRIBUTORS, INC.
June 28, 1990 - December 29, 1995
INVESTORS BROKERAGE SERVICES, INC.
August 10, 1989 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
September 27, 1982 - March 15, 1989
WADDELL & REED
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
Current Firm
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
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.
