Dorothea L. Karakas

SMITH, MOORE & CO.

Clayton, MO 63105

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CRD#: 1561281

Professional summary

Dorothea Lemakis Karakas, ChFC®, CLU®, who also goes by Dorothea Marie Lemakis, Dorothea Lemakis, is a registered financial professional currently at SMITH, MOORE & CO. located in Clayton, Missouri.

Dorothea is registered as a RR (Registered Representative) and started their career in finance in 1986. Dorothea has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dorothea Marie Lemakis | Dorothea Lemakis

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 Dorothea Lemakis Karakas'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

June 29, 2011 - Present

SMITH, MOORE & CO.

Office #1: 7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

RIA

CRD#: 3441

Clayton, MO

Past

April 6, 1998 - August 19, 2010

EDWARD JONES

CRD#: 250

ST LOUIS, MO

Past

August 20, 1997 - January 1, 1998

HUNTLEIGH SECURITIES CORPORATION

CRD#: 7456

ST. LOUIS, MO

Past

April 22, 1996 - September 29, 1997

CUTTER & COMPANY, INC.

CRD#: 22449

BALLWIN, MO

Past

July 24, 1989 - April 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 17, 1987 - August 1, 1989

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

December 2, 1986 - March 4, 1987

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

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

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.

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

Missouri
(6/29/2011)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/1987

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: 4/2/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/26/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 5/7/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

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

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Contact information

Main Address

7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105

Mailing Address

7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

Phone number

(314) 727-5225

Established

Missouri since 12/23/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SMITH MOORE BROCHURE 03-31-2025 (3/31/2025)

WRAP PROGRAM BROCHURE 03-31-2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DEUTSCH, STEWART JAMES JR	PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR	2537447
SCHULTE, TIMOTHY EUGENE	CHAIRMAN OF THE BOARD, DIRECTOR	1869986
RHYNER, RANDALL PAUL	EXECUTIVE VICE PRESIDENT, DIRECTOR	2443274
SCHMIDT, KENT CHARLES	EXECUTIVE VICE PRESIDENT, DIRECTOR	2153325
BRAGG, MATTHEW EDWARD	EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR	2279799
BRODY, AMY LYNN	CHIEF FINANCIAL OFFICER, FINOP	6486826
KRAFT, BARBARA ANN	CHIEF OPERATING OFFICER	1225082
MORAN, DANIEL PATRICK	CHIEF TECHNOLOGY OFFICER	2685632
PERRYMAN, JARET DALIN	CHIEF COMPLIANCE OFFICER	3034594

Regulatory assets under management

Total Number of Accounts	5,353
AUM (Assets Under Management)	$ 2,008,286,156

Disclosures

Regulatory Event	7
Arbitration	2

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dorothea L. Karakas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dorothea Lemakis Karakas's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDWARD JONES

HUNTLEIGH SECURITIES CORPORATION

CUTTER & COMPANY, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CARILLON INVESTMENTS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

SMITH, MOORE & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2017

Series 63

Date: 8/20/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/2/1998

Series 6

Date: 11/19/1986

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 6/26/1998

Series 24

Date: 5/7/1998

FINRA

Current Firm

SMITH, MOORE & CO.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SMITH, MOORE & CO.

TRUST BUT VERIFY

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