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KW

Karen A. Whitby

HUNTINGTON SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 1155586
KW
Karen Asnin WhitbyHUNTINGTON SECURITIES

Professional summary

Karen Asnin Whitby, who also goes by Karen Asnin, Karen A. Whitby, Karen Whitby, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in New York, New York.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1985. Karen has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.

Aliases

Karen Asnin | Karen A. Whitby | Karen Whitby

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) - BD

Click below to view Karen Asnin Whitby's CRS (Customer Relationship Summary).

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

Current

January 8, 2026 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 1166 Avenue Of The Americas, New York, NY 10036
BD
CRD#: 2261
New York, NY
Past

November 27, 2017 - January 14, 2026

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

September 1, 1992 - December 20, 2017

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 30, 1985 - July 27, 1992

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/8/2026)
RR
Arizona
(1/8/2026)
RR
Arkansas
(1/8/2026)
RR
California
(1/8/2026)
RR
Colorado
(1/8/2026)
RR
Connecticut
(1/8/2026)
RR
Florida
(1/8/2026)
RR
Georgia
(1/8/2026)
RR
Illinois
(1/8/2026)
RR
Indiana
(1/8/2026)
RR
Kentucky
(1/8/2026)
RR
Louisiana
(1/8/2026)
RR
Massachusetts
(1/8/2026)
RR
Michigan
(1/8/2026)
RR
Missouri
(1/8/2026)
RR
Montana
(1/8/2026)
RR
New Jersey
(1/8/2026)
RR
New Mexico
(1/8/2026)
RR
New York
(1/8/2026)
RR
North Carolina
(1/8/2026)
RR
Ohio
(1/8/2026)
RR
Oregon
(1/8/2026)
RR
Pennsylvania
(1/8/2026)
RR
Rhode Island
(1/8/2026)
RR
Tennessee
(1/8/2026)
RR
Texas
(1/8/2026)
RR
Utah
(1/8/2026)
RR
Virginia
(1/8/2026)
RR
West Virginia
(1/8/2026)
RR
Wisconsin
(1/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/1/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 4/11/1981
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.

CRD#: 2261 / SEC#: , 8-5761

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

Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HUNTINGTON BANCSHARES INCORPORATEDDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
BORRELLI, MARK ROBERTGENERAL COUNSEL/SECRETARY6803711
COSTANZO, SAMANTHA ANNDIRECTOR4133695
DIBOWSKI, TERRAHEAD OF BROKERAGE OPERATIONS5468840
FITZSIMMONS, DAVID RAYMONDHEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR4245434
HERBERT, KATHERINE ELEANORCONTROLLER/FINOP6412263
HOHENSTEIN, THOMASCFO3123815
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISPRESIDENT6419334
SZWAGULAK, JOHN W IIICHIEF COMPLIANCE OFFICER4033023
WALTHER, KATHLEENDIRECTOR7858303

Disclosures

Regulatory Event8

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

HUNTINGTON SECURITIES, INC.

CRD#: 2261New York, NY 10036

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