Karen Murphy
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 Murphy, CFP®, who also goes by Karen Lea Baldwin, Karen Lea Murphy, Karen Lea Rempal, Karen Rempal, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1984. Karen had worked at 14 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 53 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
October 1, 2012 - March 4, 2025
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 4, 2025
J.P. MORGAN SECURITIES LLC
September 7, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 7, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 24, 2010 - September 7, 2010
LPL FINANCIAL LLC
May 24, 2010 - September 7, 2010
LPL FINANCIAL LLC
November 8, 2006 - January 6, 2009
U.S. BANCORP ADVISORS, LLC
November 8, 2006 - January 6, 2009
U.S. BANCORP ADVISORS, LLC
October 12, 2005 - March 28, 2006
WAMU INVESTMENTS, INC.
October 12, 2005 - March 28, 2006
WAMU INVESTMENTS, INC.
May 26, 2004 - August 24, 2005
CITICORP INVESTMENT SERVICES
September 5, 2003 - August 24, 2005
CITICORP INVESTMENT SERVICES
July 18, 2001 - September 9, 2003
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - September 9, 2003
WELLS FARGO INVESTMENTS, LLC
June 9, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 21, 1996 - September 20, 1996
FIRST INTERSTATE INVESTMENTS,INC.
September 20, 1993 - April 11, 1997
WELLS FARGO SECURITIES INC.
February 14, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
July 13, 1987 - February 4, 1992
GRIFFIN FINANCIAL SERVICES
September 26, 1986 - April 22, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 26, 1986 - May 7, 1987
EQUITABLE ADVISORS, LLC
March 22, 1984 - August 20, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
