Karen S. Courtnell
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 Sue Courtnell, who also goes by Karen Sue Doughty, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1997. Karen had worked at 2 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
September 19, 2002 - December 17, 2012
THOMAS R. NOONAN, INC.
April 23, 1997 - May 3, 2010
UNION FINANCIAL CORP.
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
THOMAS R. NOONAN, INC.
CRD#: 142143 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 21,160,000 |
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.
