Karen J. Giese
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 Jean Giese, CFP® was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1984. Karen had worked at 11 firms and has passed the Series 65, 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
September 18, 2012 - January 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2012 - January 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2009 - August 15, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 29, 2008 - August 15, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 1, 2007 - September 29, 2008
CETERA INVESTMENT SERVICES LLC
March 1, 2007 - September 29, 2008
CETERA INVESTMENT SERVICES LLC
December 1, 2001 - February 28, 2007
U.S. BANCORP INVESTMENTS, INC.
March 25, 1994 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
January 2, 1991 - March 23, 1994
CUNA BROKERAGE SERVICES, INC.
October 12, 1990 - December 31, 1990
CENTURY INVESTORS OF AMERICA, INC.
February 21, 1989 - October 12, 1990
FSC SECURITIES CORPORATION
August 29, 1988 - October 12, 1990
FSC SECURITIES CORPORATION
April 28, 1987 - September 1, 1988
EQUITABLE ADVISORS, LLC
April 8, 1987 - September 1, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 7, 1984 - April 15, 1987
CENTURY INVESTORS OF AMERICA, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
