Karen S. Mcgarvey
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 Sue Mcgarvey, CFP®, who also goes by Karen Sue Atwood, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1982. Karen had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1985
Experience
March 28, 2005 - December 23, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 19, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 19, 2003 - December 23, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 12, 1999 - May 20, 2003
VOYA FINANCIAL ADVISORS, INC.
October 27, 1999 - May 20, 2003
VOYA FINANCIAL ADVISORS, INC.
April 18, 1994 - October 29, 1999
OSAIC WEALTH, INC.
February 21, 1989 - April 21, 1994
IDS LIFE INSURANCE COMPANY
February 21, 1989 - April 21, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 1986 - February 22, 1989
VOYA FINANCIAL ADVISORS, INC.
November 7, 1986 - November 28, 1986
FORTH FINANCIAL SECURITIES, CORPORATION
June 11, 1986 - November 10, 1986
MONARCH SECURITIES, INC.
January 28, 1983 - October 20, 1986
CADARET, GRANT & CO., INC.
December 1, 1982 - January 18, 1983
LEHMAN BROTHERS DISTRIBUTORS INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
