Karen A. Mcnamara
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 Ann Mcnamara was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 8 firms and has passed the Series 66, Series 63, Series 3, Series 7 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
November 17, 2010 - January 3, 2013
GILFORD FINANCIAL CORP.
October 8, 2010 - January 3, 2013
GILFORD SECURITIES INCORPORATED
May 8, 2003 - May 13, 2009
UBS FINANCIAL SERVICES INC.
April 25, 2001 - October 3, 2002
AUERBACH GRAYSON & COMPANY LLC
May 22, 1995 - November 4, 1999
RBC CAPITAL MARKETS CORPORATION
January 31, 1989 - January 12, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 1986 - March 10, 1988
KLEINWORT BENSON NORTH AMERICA INC.
September 21, 1983 - November 3, 1986
CIBC WOOD GUNDY SECURITIES CORP.
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: 4/24/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GILFORD FINANCIAL CORP.
CRD#: 126593 / SEC#: 801-68766
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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