Karen Tannaccio
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 Tannaccio, who also goes by Karen S Alterman, Karen S Tannaccio, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 12 firms and has passed the Series 63, SIE, Series 99 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
June 11, 2015 - April 4, 2018
SCOTTRADE, INC.
March 9, 2005 - October 22, 2007
CITIGROUP GLOBAL MARKETS INC.
January 16, 2000 - March 4, 2005
PIPER SANDLER & CO.
December 20, 1999 - September 4, 2001
U.S. BANCORP INVESTMENTS, INC.
March 2, 1998 - October 19, 1999
RBC CAPITAL MARKETS, LLC
June 11, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 10, 1994 - April 25, 1997
MORGAN STANLEY DW INC.
December 15, 1993 - August 19, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1993 - November 5, 1993
A. G. EDWARDS & SONS, INC.
May 30, 1991 - August 27, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1990 - April 15, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 2, 1984 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
August 24, 1983 - December 16, 1983
FIRST FINANCIAL SECURITIES, INC.
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
