Karen D. Wallace
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 D Wallace, who also goes by Karen Darlene Wallace, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1984. Karen had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2014 - October 7, 2016
NATIONAL FINANCIAL SERVICES LLC
June 18, 2014 - August 12, 2014
FIDELITY DISTRIBUTORS CORPORATION
June 18, 2014 - October 7, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
April 20, 2009 - January 14, 2010
FIDELITY DISTRIBUTORS COMPANY LLC
April 20, 2009 - October 7, 2016
FIDELITY BROKERAGE SERVICES LLC
March 25, 2008 - May 9, 2012
NATIONAL FINANCIAL SERVICES LLC
June 22, 2004 - April 7, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 25, 1997 - January 12, 2004
MFS FUND DISTRIBUTORS, INC.
August 7, 1991 - September 8, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
August 5, 1987 - August 2, 1991
FIDELITY BROKERAGE SERVICES LLC
December 18, 1984 - August 18, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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