Karen P. Carroll

HERBERT J. SIMS & CO

Boca Raton, FL 33431

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CRD#: 1302305

Professional summary

Karen Patrice Carroll, who also goes by Karen Patrice Pohorely, Karen Pohorely, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1985. Karen has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen Patrice Pohorely | Karen Pohorely

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Patrice Carroll's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 24, 2003 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431

CRD#: 3420

Boca Raton, FL

Past

April 22, 1988 - August 28, 2002

HAMERSHLAG, DODELES & CO., LLC

CRD#: 2117

NEW YORK, NY

Past

September 22, 1987 - March 28, 1988

M. J. FRIEDLANDER CO., INC.

CRD#: 13110

Past

March 19, 1986 - May 14, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

November 19, 1985 - March 3, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(10/24/2003)

Exams

State Security Law Exam

Series 63

Date: 4/8/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/24/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/15/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

HERBERT J. SIMS & CO, INC.

HERBERT .J SIMS & CO, INC. | HERBERT J. SIMS & CO. INC. | HERBERT J. SIMS & CO, INC.

CRD#: 3420 / SEC#: , 8-3315

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

2150 Post Road Suite 301, Fairfield, CT 06824

Mailing Address

2150 Post Road Suite 301, Fairfield, CT 06824

Phone number

(203) 418-9000

Established

Delaware since 12/12/2012

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEKSYS CORPORATION	OWNER
DIAMOND, JASON HOWARD	CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL	2320884
RULNICK, AARON M	DIRECTOR	3149315
HEBERT, VALERIE	CHIEF COMPLIANCE OFFICER	4007252
MULLANE, DANIEL JOSEPH	MANAGING PRINCIPAL	1246435
SANDS, R JEFFREY	DIRECTOR	4285040
SIMS, WILLIAM BARNETT	PRESIDENT/CEO	425019

Disclosures

Regulatory Event	8
Arbitration	2

Red Flags

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Firm Stability Insights

Karen P. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Patrice Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMERSHLAG, DODELES & CO., LLC

M. J. FRIEDLANDER CO., INC.

L. F. ROTHSCHILD & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

Series 10

Date: 4/24/2000

Series 9

Date: 3/15/2000

FINRA

Current Firm

HERBERT J. SIMS & CO, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HERBERT J. SIMS & CO, INC.

TRUST BUT VERIFY

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