Karen Y. Geiger
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 Yvonne Geiger, who also goes by Karen Yvonne Bowman, Karen Yvonne Tanaska, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1986. Karen had worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2017 - December 31, 2019
CAPE INVESTMENT ADVISORY, INC.
June 23, 2017 - June 8, 2023
CAPE SECURITIES INC.
October 15, 2013 - June 7, 2017
WALL STREET STRATEGIES, INC.
April 9, 2012 - August 6, 2013
PROSPERITY CAPITAL ADVISORS
January 9, 2012 - June 22, 2017
ADVANCED STRATEGIES INC.
January 6, 2009 - January 4, 2012
REGAL ADVISORY SERVICES, INC.
January 2, 2009 - January 4, 2012
REGAL SECURITIES, INC.
December 12, 2006 - December 31, 2008
USA WEALTH MANAGEMENT LLC
December 7, 2006 - December 31, 2008
USA ADVANCED PLANNERS INC.
August 1, 2003 - December 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
April 2, 2003 - December 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
July 20, 1999 - April 1, 2003
EDWARD JONES
May 14, 1999 - July 21, 1999
KEYBANC CAPITAL MARKETS INC.
November 14, 1996 - May 14, 1999
KEY INVESTMENTS INC.
August 17, 1994 - November 4, 1996
FIRSTMERIT SECURITIES, INC.
March 18, 1988 - August 16, 1994
VESTAX SECURITIES CORPORATION
February 9, 1988 - April 18, 1988
TOWER SQUARE SECURITIES, INC.
November 26, 1986 - August 16, 1994
VESTAX SECURITIES CORPORATION
May 29, 1986 - December 9, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
March 31, 1986 - December 17, 1986
JOHN HANCOCK DISTRIBUTORS LLC
February 19, 1986 - March 24, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
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
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
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.
