Karen E. Kolling
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 Elizabeth Kolling, who also goes by Karen Elizabeth Delaney, Karen Elizabeth Delaneyscott, Karen Elizabeth Kollingscott, Karen Elizabeth Scott, Karen Elizabeth Scott- Kolling, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1984. Karen had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2015 - September 20, 2017
FISHER INVESTMENTS
January 23, 2007 - January 24, 2011
FISHER INVESTMENTS
February 17, 2005 - August 23, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 3, 2004 - August 23, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 2002 - March 19, 2003
UBS FINANCIAL SERVICES INC.
September 22, 2000 - March 19, 2003
UBS FINANCIAL SERVICES INC.
July 25, 1994 - September 29, 2000
CITIGROUP GLOBAL MARKETS INC.
February 21, 1991 - August 10, 1994
MORGAN STANLEY DW INC.
September 20, 1984 - October 30, 1986
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
