Karen A. Jackson
Professional summary
Karen Ann Jackson is a registered financial professional currently at PERFORMANCE TRUST CAPITAL PARTNERS, LLC located in Chicago, Illinois.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1986. Karen has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Ann Jackson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2021 - Present
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Office #1: 500 W. Madison Suite 450, Chicago, IL 60661February 7, 2017 - October 10, 2018
SERA GLOBAL SECURITIES US LLC
March 16, 2015 - November 1, 2018
BROOKFIELD PRIVATE ADVISORS LLC
December 19, 2013 - September 5, 2014
BRICKELL GLOBAL MARKETS, INC.
October 21, 1999 - May 8, 2013
KEEFE, BRUYETTE & WOODS, INC.
July 15, 1996 - March 4, 1998
FLEET BROKERAGE SECURITIES, INC.
July 1, 1986 - July 12, 1996
FLEET ENTERPRISES, INC.
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
FINRA
Nasdaq Stock Market
Current Firm
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
CRD#: 36155 / SEC#: 801-72427, 8-47035
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BERG, RICHARD SCOTT | BOARD MEMBER | 1077170 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 4213450 |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DOCHERTY, JENNIFER ANN | CORPORATE SECRETARY | 4587223 |
| DONOVAN, TRACI | GENERAL COUNSEL | 5694928 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | 4230980 |
| GRAHAM, RICHARD WARWICK JR | PARTNER AND MANAGING DIRECTOR, BOARD MEMBER | 5836195 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | 2339510 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | 5192352 |
| LEIBFRIED, BRIAN KEITH | MANAGING DIRECTOR, BOARD MEMBER | 4438951 |
| LOVE, KRISTIN M | CCO & COO | 4370951 |
| SALUTRIC, DAVID RAYMOND | HEAD OF CIA | 6146435 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | 4838599 |
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 301,689,867 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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