Karen F. Dalzotto
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 Fissinger Dalzotto, who also goes by Karen Fissinger Dalzotto, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1985. Karen had worked at 6 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2004 - December 31, 2021
THE INVESTMENT CENTER, INC.
March 11, 2003 - September 22, 2004
HEFREN-TILLOTSON, INC.
March 1, 1996 - March 18, 2003
MML INVESTORS SERVICES, LLC
January 24, 1991 - March 1, 1996
G. R. PHELPS & CO., INC.
February 8, 1989 - February 1, 1991
MML INVESTORS SERVICES, LLC
March 6, 1987 - January 26, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
August 27, 1985 - September 2, 1988
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
