Karen M. Rothenberger
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 Marie Rothenberger, who also goes by Abbott, Karen Marie Abbott, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2004. Karen had worked at 2 firms and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2015 - August 2, 2016
BURKE, LAWTON, BREWER & BURKE, LLC
June 14, 2004 - November 19, 2007
RUTHERFORD, BROWN & CATHERWOOD, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 11
Date: 10/30/2015
Assistant Representative-Order Processing Qualification ExamCurrent Firm
BURKE, LAWTON, BREWER & BURKE, LLC
CRD#: 1346 / SEC#: , 8-12173
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
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.
