Karen L. Davis
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 Lynne Davis, who also goes by Karen Lynne Krantz, 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 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
January 25, 2016 - May 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 2015 - May 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2011 - March 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 30, 2009 - March 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2007 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
September 22, 2003 - September 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2003 - February 4, 2003
MUTUAL SERVICE CORPORATION
November 5, 2001 - January 28, 2002
MUTUAL SERVICE CORPORATION
November 5, 1996 - April 24, 2000
LEGG MASON WOOD WALKER, INCORPORATED
June 11, 1996 - October 30, 1996
MORGAN STANLEY DW INC.
August 12, 1994 - October 6, 1995
LEGG MASON WOOD WALKER, INCORPORATED
February 15, 1988 - May 5, 1988
LEHMAN BROTHERS INC.
February 12, 1988 - September 8, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1983 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
