Karen C. Cole
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 Ciszewski Cole MS., who also goes by Karen Ann Ciszewski, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1983. Karen had worked at 9 firms and has passed the Series 63, Series 65, Series 6, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2014 - November 3, 2017
IPSWICH INVESTMENT MANAGEMENT COMPANY, INC
May 3, 2006 - April 7, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 17, 2002 - October 6, 2003
FREEDOM CAPITAL MANAGEMENT LLC
June 6, 2001 - May 16, 2002
FREEDOM CAPITAL MANAGEMENT CORP
April 28, 1997 - November 30, 2000
FREEDOM DISTRIBUTORS CORPORATION
October 8, 1991 - February 25, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 24, 1985 - September 21, 1990
WESTON SECURITIES CORPORATION
February 3, 1984 - January 25, 1985
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1983 - December 5, 1983
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
IPSWICH INVESTMENT MANAGEMENT COMPANY, INC
CRD#: 106625 / SEC#: 801-26465
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
IPSWICH INVESTMENT MANAGEMENT COMPANY, INC
CRD#: 106625 / SEC#: 801-26465
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 539 |
| AUM (Assets Under Management) | $ 695,620,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 10/23/2024 | ||
| 05/12/2023 |
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.
