Karen W. Musselman
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 W Musselman, who also goes by Karen W Armstrong, Karen Walker Musselman, Karen Walker, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - December 21, 2020
RAYMOND JAMES & ASSOCIATES, INC.
January 15, 2014 - December 21, 2020
RAYMOND JAMES & ASSOCIATES, INC.
June 3, 1999 - January 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 1999 - January 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 1996 - May 28, 1999
UBS FINANCIAL SERVICES INC.
March 6, 1995 - December 29, 1995
ALLSTATE FINANCIAL SERVICES, LLC
December 6, 1991 - May 4, 1994
CAPITAL BROKERAGE CORPORATION
November 7, 1990 - December 13, 1991
DETWILER FENTON WEALTH MANAGEMENT INC
March 13, 1990 - April 30, 1990
CAPITAL BROKERAGE CORPORATION
February 18, 1986 - March 11, 1988
MABON, NUGENT & CO.
March 1, 1983 - December 11, 1985
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
