Karen A. Decoud
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 Decoud, CFP®, who also goes by Karen Peevy Celestin, Karen Celestin, Karen Peevy Decoud, Karen Decoud, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1984. Karen had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2021 - April 7, 2025
JOHN HANCOCK DISTRIBUTORS LLC
August 7, 2013 - November 30, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 22, 2002 - July 12, 2013
MMC SECURITIES LLC
April 4, 2002 - July 12, 2013
MMC SECURITIES LLC
July 18, 1996 - March 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1995 - October 6, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 14, 1990 - January 31, 1995
TRANSAMERICA FUND DISTRIBUTORS, INC.
November 19, 1989 - December 20, 1989
OSAIC WEALTH, INC.
March 22, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
