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KW

Karen R. Winters

Some features on this profile are disabled
CRD#: 1141691
KW

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 Rae Winters, who also goes by Karen Rae Griessmeyer, Karen Rae Zuleger, was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Rae Griessmeyer | Karen Rae Zuleger

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 30, 2013 - January 8, 2015

BROADSTONE SECURITIES

BD
CRD#: 101600
STERLING HTS., MI
Past

April 18, 2011 - April 30, 2013

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
WARREN, MI
Past

January 5, 2010 - April 20, 2011

PROFESSIONAL ASSET MANAGEMENT, INC.

BD
CRD#: 21125
WARREN, MI
Past

August 2, 1993 - December 31, 2009

BENTLEY-LAWRENCE SECURITIES, INC.

BD
CRD#: 13174
WARREN, MI
Past

December 23, 1992 - November 1, 1993

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
EL PASO, TX
Past

August 6, 1991 - December 23, 1992

USA FINANCIAL GROUP, INC.

BD
CRD#: 17819
Past

August 8, 1988 - August 8, 1991

BENTLEY-LAWRENCE SECURITIES, INC.

BD
CRD#: 13174
TROY, MI
Past

September 15, 1987 - August 9, 1988

GREAT LAKES EQUITIES CO.

BD
CRD#: 16175
Past

October 21, 1983 - September 21, 1987

FIRST HERITAGE CORPORATION

BD
CRD#: 330
Past

July 21, 1983 - January 29, 1985

ROYAL MACCABEES SECURITIES COMPANY

BD
CRD#: 6704

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/1983
General Securities Principal Examination

Current Firm

BS
BROADSTONE SECURITIES
BROADSTONE SECURITIES | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.

CRD#: 101600 / SEC#: , 8-52094

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
Michigan since 09/10/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WENTWORTH MANAGEMENT SERVICES, LLCHOLDING COMPANY
BOHLEY, TRACEY LEAFINOP, CHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIECEO/CCO4405001

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.

Company Information

BROADSTONE SECURITIES

CRD#: 101600

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