Karen C. Colby
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 Chapin Colby, who also goes by Karen Anne Chapin, Karen Anne Savage, Karen Chapin Savage, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2004 - July 26, 2006
WINDWARD SECURITIES CORPORATION
October 30, 1984 - September 19, 2018
OSAIC FS, INC.
October 24, 1983 - November 5, 1984
FORESTERS FINANCIAL SERVICES, INC.
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
WINDWARD SECURITIES CORPORATION
CRD#: 127716 / SEC#: , 8-66037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERSON PILOT SECURITIES CORPORATION | DIRECT OWNER | 3870 |
| ANGARELLA, RONALD RICHARD | DIRECTOR CHAIRMAN & CEO | 1785580 |
| ARMSTRONG, DAVID EDWARD | VICE PRESIDENT | 2465424 |
| BOOTH, DAVID KENNETH | PRESIDENT & DIRECTOR | 2030529 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT | 1745774 |
| CORNELIO, CHARLES CARMEN | DIRECTOR | 2081506 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT & DIRECTOR | 831061 |
| KENNEDY, MARTY EUGENE | VICE PRESIDENT | 2556052 |
| MANGO, PAULA LEMIRE | ASST. VP, PRIVACY AND AML OFFICER | 1060500 |
| MURRAY, MICHAEL FRANCIS | VICE PRESIDENT | 2074275 |
| SALAMY, KIM JAY | ASSISTANT VICE PRESIDENT | 1545465 |
| SALAMY, MARGARET ANN | ASSISTANT VICE PRESIDENT | 1578398 |
| STEVENSON, MICHAEL ROBERT | ASSISTANT VICE PRESIDENT | 2432668 |
| WAGNER, KENNETH LEE | CHIEF COMPLIANCE OFFICER | 1113763 |
| WESTON, JOHN ARTHUR | VICE PRESIDENT & TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
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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