Karen Van Bokhoven
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 Van Bokhoven, who also goes by Karen Moy, Karen Moy-chiu, Karen Moychiu, Karen Vanbokhoven, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1987. Karen had worked at 5 firms and has passed the 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
May 23, 2011 - June 20, 2019
CUNA BROKERAGE SERVICES, INC.
May 16, 2011 - June 20, 2019
CUNA BROKERAGE SERVICES, INC.
November 10, 2009 - March 3, 2010
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2007 - November 19, 2008
CUNA BROKERAGE SERVICES, INC.
November 13, 2007 - November 19, 2008
CUNA BROKERAGE SERVICES, INC.
May 16, 2007 - November 1, 2007
NEW ENGLAND SECURITIES
May 14, 2007 - May 14, 2007
NEW ENGLAND SECURITIES
May 14, 2007 - November 1, 2007
NEW ENGLAND SECURITIES
December 21, 2005 - May 2, 2007
CUNA BROKERAGE SERVICES, INC.
December 21, 2005 - May 2, 2007
CUNA BROKERAGE SERVICES, INC.
February 24, 2004 - December 14, 2005
NEW ENGLAND SECURITIES
August 27, 1996 - August 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 1987 - August 21, 2003
IDS LIFE INSURANCE COMPANY
February 24, 1987 - August 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
