Karen A. Lecain
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 Lecain, who also goes by Karen Ann Hoefling, Karen Schmidt Hoefling, Nee Hoefling, Karen Schmidt, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1984. Karen had worked at 9 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 31, 2012
ALLIED BEACON PARTNERS, INC.
May 9, 2007 - December 31, 2008
ADVANCED PLANNING SECURITIES, INC.
October 7, 2005 - May 1, 2007
CLARK DODGE & CO., INC.
July 13, 1992 - October 18, 2005
CITIGROUP GLOBAL MARKETS INC.
January 29, 1991 - June 19, 1992
LIT AMERICA, INC.
July 26, 1988 - October 25, 1990
LASALLE ST SECURITIES, L.L.C.
August 11, 1986 - June 1, 1988
ELDERS SECURITIES INC.
August 19, 1985 - August 11, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
November 21, 1984 - August 2, 1985
PERSHING LLC
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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
