Karen K. Franco

NAVIGATION GROUP LLC

REDWOOD SHORES, CA 94065

Some features on this profile are disabled

CRD#: 1489357

Professional summary

Karen Keller Franco, who also goes by Karen Marie Keller, Karen Keller Neish, Karen M Neish, is a registered financial advisor currently at NAVIGATION GROUP LLC located in Redwood Shores, California and LPL FINANCIAL LLC located in Redwood Shores, California.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Karen has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Marie Keller | Karen Keller Neish | Karen M Neish

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.

1. 07/21/2014 - NAVIGATION GROUP, INC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 2 HOURS PER MONTH - REDWOOD SHORES, CA 2. 09/17/2014 - WHISPERING HILLS HORSE RANCH - HORSE RANCH - TIME SPENT 104 HOURS PER MONTH - REDWOOD SHORES, CA 3. 5/25/2017 - Navigation Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 06/01/2016 - 160 Hours Per Month/100 During Securities Trading - I provide administrative services through Navigation Group, an independent investment advisor firm. I started this business activity on 5/25/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Keller Franco'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

September 23, 2014 - Present

NAVIGATION GROUP LLC

Office #1: Three Lagoon Drive, Suite 110, Redwood Shores, CA 94065

RIA

CRD#: 130982

REDWOOD SHORES, CA

Current

January 25, 2006 - Present

LPL FINANCIAL LLC

Office #1: 3 Lagoon Drive #110, Redwood Shores, CA 94065

RIA

CRD#: 6413

Redwood Shores, CA

Past

July 11, 2005 - October 6, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

REDWOOD SHORES, CA

Past

June 9, 1986 - October 6, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NAVIGATION GROUP LLC

NAVIGATION GROUP LLC | NAVIGATION GROUP, INC.

CRD#: 130982 / SEC#: 801-110408

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

California

Registered Investment Advisory firm - (5/28/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(2/2/2006)

IAR

California
(9/23/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/31/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NAVIGATION GROUP LLC

NAVIGATION GROUP LLC | NAVIGATION GROUP, INC.

CRD#: 130982 / SEC#: 801-110408

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

California

Registered Investment Advisory firm - (5/28/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3 Lagoon Drive Suite 110, Redwood Shores, CA 94065

Mailing Address

Phone number

(650) 595-1700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NAVIGATION GROUP PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	426
AUM (Assets Under Management)	$ 927,521,918

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karen K. Franco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Keller Franco's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NAVIGATION GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2006

Series 63

Date: 8/31/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2006

FINRA

Current Firm

NAVIGATION GROUP LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAVIGATION GROUP LLC

TRUST BUT VERIFY

Similar Advisors