KG
Karen G. Gray
STIFEL, NICOLAUS & COMPANY
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 1652975
KG
Professional summary
Karen Gaye Gray, who also goes by Karen Baker, Karen G Gray, Karen Gray, Karen G Overturf, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Los Angeles, California.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1988. Karen has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen Baker | Karen G Gray | Karen Gray | Karen G Overturf
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.
CRS (Client Relationship Summary) - BD
Click below to view Karen Gaye Gray's 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®
NoneExperience
Current
November 1, 2011 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067RIA
BD
CRD#: 793
LOS ANGELES, CA
Past
February 19, 2008 - November 3, 2011
STONE & YOUNGBERG LLC
BD
CRD#: 795
LOS ANGELES, CA
Past
September 20, 2007 - October 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SEAL BEACH, CA
Past
May 2, 2001 - May 21, 2001
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
July 6, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
November 21, 1997 - February 9, 1998
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
October 15, 1996 - September 23, 1997
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
April 3, 1996 - October 8, 1996
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
October 24, 1995 - March 11, 1996
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 21, 1994 - November 28, 1994
GRIFFIN FINANCIAL SERVICES
BD
CRD#: 10823
Past
March 8, 1994 - July 25, 1994
BANCAL INVESTMENT SERVICES, INC.
BD
CRD#: 17122
Past
November 19, 1993 - February 11, 1994
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
October 15, 1992 - November 19, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
March 21, 1988 - November 10, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
BD
CRD#: 595
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alaska(6/15/2023)
RR
Arizona(3/26/2020)
RR
Arkansas(3/26/2020)
RR
California(11/1/2011)
RR
Colorado(3/26/2020)
RR
Connecticut(3/26/2020)
RR
Delaware(3/26/2020)
RR
District of Columbia(3/26/2020)
RR
Florida(3/26/2020)
RR
Georgia(3/26/2020)
RR
Hawaii(3/26/2020)
RR
Idaho(3/26/2020)
RR
Illinois(3/26/2020)
RR
Indiana(3/26/2020)
RR
Iowa(3/26/2020)
RR
Kansas(5/28/2020)
RR
Kentucky(5/28/2020)
RR
Louisiana(3/26/2020)
RR
Maine(3/26/2020)
RR
Maryland(3/26/2020)
RR
Massachusetts(12/14/2020)
RR
Michigan(3/26/2020)
RR
Minnesota(3/26/2020)
RR
Mississippi(3/26/2020)
RR
Missouri(3/26/2020)
RR
Montana(3/26/2020)
RR
Nevada(3/26/2020)
RR
New Hampshire(3/26/2020)
RR
New Jersey(3/26/2020)
RR
New Mexico(3/26/2020)
RR
New York(3/26/2020)
RR
North Carolina(3/26/2020)
RR
Ohio(3/26/2020)
RR
Oklahoma(3/26/2020)
RR
Oregon(3/26/2020)
RR
Pennsylvania(3/26/2020)
RR
Puerto Rico(3/26/2020)
RR
Rhode Island(3/26/2020)
RR
South Carolina(3/26/2020)
RR
South Dakota(3/26/2020)
RR
Texas(3/26/2020)
RR
Utah(3/26/2020)
RR
Virginia(3/26/2020)
RR
Washington(3/26/2020)
RR
West Virginia(3/26/2020)
RR
Wisconsin(3/26/2020)
RR
Wyoming(3/26/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
