Karen R. Gholson
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 Rae Gholson, who also goes by Karen Rae Gholsonjohnson, Karen Rae Johnson, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1987. Karen had worked at 9 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
April 24, 2007 - January 24, 2022
CHARLES SCHWAB & CO., INC.
April 24, 2007 - January 24, 2022
CHARLES SCHWAB & CO., INC.
May 11, 2006 - March 23, 2007
CUSO FINANCIAL SERVICES, L.P.
April 26, 2004 - March 23, 2007
CUSO FINANCIAL SERVICES, L.P.
October 13, 2003 - April 19, 2004
EDWARD JONES
February 17, 2000 - June 23, 2003
CHARLES SCHWAB & CO., INC.
July 19, 1999 - June 23, 2003
CHARLES SCHWAB & CO., INC.
April 30, 1999 - July 21, 1999
CETERA WEALTH SERVICES, LLC
March 25, 1997 - September 11, 1997
CUSO FINANCIAL SERVICES, L.P.
July 1, 1993 - March 15, 1995
IFMG SECURITIES, INC.
January 8, 1992 - April 14, 1992
INVEST FINANCIAL CORPORATION
September 11, 1991 - December 27, 1991
CETERA INVESTMENT SERVICES LLC
June 25, 1987 - May 14, 1991
CAPITAL BROKERAGE CORPORATION
March 25, 1987 - April 3, 1987
FIRST CERTIFIED CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
