Karen C. Nicholson
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 Colleen Nicholson, who also goes by Karen C Wren, Karen Colleen Wren, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2009 - November 19, 2024
D.A. DAVIDSON & CO.
September 9, 2009 - November 19, 2024
D.A. DAVIDSON & CO.
June 1, 2009 - September 24, 2009
MORGAN STANLEY
June 1, 2009 - September 24, 2009
MORGAN STANLEY
April 24, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 12, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1997 - December 23, 1998
CITIGROUP GLOBAL MARKETS INC.
December 2, 1993 - April 4, 1997
DAIN RAUSCHER INCORPORATED
November 18, 1991 - October 26, 1993
UBS FINANCIAL SERVICES INC.
June 15, 1990 - June 19, 1991
UNITED PACIFIC FINANCIAL SERVICES, INC.
February 23, 1989 - June 19, 1990
CAPITAL BROKERAGE CORPORATION
August 15, 1985 - January 7, 1989
INVEST FINANCIAL CORPORATION
March 9, 1984 - August 19, 1985
FSC SECURITIES CORPORATION
August 23, 1983 - February 27, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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 8
Date: 7/13/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
