Karen K. Warren

STERN BROTHERS & CO.

St. Louis, MO 63105

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CRD#: 1316200

Professional summary

Karen Kay Warren, who also goes by Karen Chappie, Karen Kay Moore, is a registered financial professional currently at STERN BROTHERS & CO. located in St. Louis, Missouri.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1997. Karen has worked at 3 firms and has passed the Series 66, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen Chappie | Karen Kay Moore

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 Kay Warren'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

May 29, 2009 - Present

STERN BROTHERS & CO.

Office #1: 8000 Maryland Avenue Suite 800, St. Louis, MO 63105

CRD#: 16325

St. Louis, MO

Past

November 12, 2008 - May 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

January 1, 2008 - May 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 19, 1997 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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

Illinois
(10/6/2021)

Missouri
(5/29/2009)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/23/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/5/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STERN BROTHERS & CO.

BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Mailing Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Phone number

(314) 727-5519

Established

Missouri since 01/25/1985

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED	TRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012	TRUST
CLEMENTS, DONALD SIDNEY	CHIEF TECHNOLOGY OFFICER	4440518
ESSERT, GLENN EDWARD	CHIEF COMPLIANCE OFFICER, AMLCO	1447868
FINN, PEGGY PRINCE	CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE	730640
FINN, TERRENCE MICHAEL	PRESIDENT, DIRECTOR	1102166
MIRIANI, JASON ANDREW	CFO, TREASURER	4547660
WARREN, KAREN KAY	PRINCIPAL OPERATIONS OFFICER	1316200

Disclosures

Regulatory Event

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.

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Karen K. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Kay Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2008

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1997

Series 53

Date: 10/5/2015

Series 24

Date: 9/23/2009

FINRA

Current Firm

STERN BROTHERS & CO.

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STERN BROTHERS & CO.

TRUST BUT VERIFY

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