Karen D. Duckworth
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 Denise Duckworth, who also goes by Karen Denise Bland, Karen Denise Gumm, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1994. Karen had worked at 12 firms and has passed the Series 63, Series 55, Series 7 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
Experience
January 6, 2012 - November 6, 2012
ESPOSITO SECURITIES, LLC
February 6, 2009 - July 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 24, 2006 - March 22, 2007
RBC CAPITAL MARKETS, LLC
May 25, 2006 - September 19, 2006
WFG INVESTMENTS, INC.
May 15, 2006 - May 24, 2006
NATIONAL SECURITIES CORPORATION
June 2, 2003 - May 15, 2006
FULCRUM GLOBAL PARTNERS LLC
October 30, 2000 - July 23, 2002
HILLTOP SECURITIES INC.
September 22, 2000 - October 12, 2000
STONEGATE CAPITAL MARKETS, INC.
June 5, 2000 - August 21, 2000
FIRST LONDON SECURITIES CORPORATION
June 24, 1997 - May 16, 2000
FIRST SOUTHWEST COMPANY, LLC
December 7, 1994 - June 19, 1997
PRINCIPAL 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
Series 55
Date: 6/5/1999
Limited Representative-Equity Trader ExamCurrent Firm
ESPOSITO SECURITIES, LLC
CRD#: 143710 / SEC#: , 8-67596
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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