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KJ

Karen H. Jones

Some features on this profile are disabled
CRD#: 1671144
KJ

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 Halpert Jones, who also goes by Karen Halpert Doskoczynsky, 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 SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Halpert Doskoczynsky

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 7, 2016 - January 6, 2017

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
Chicago, IL
Past

May 8, 2015 - January 6, 2017

CITADEL CLEARING LLC

BD
CRD#: 172693
Chicago, IL
Past

September 26, 2012 - January 6, 2017

CITADEL SECURITIES LLC

BD
CRD#: 116797
CHICAGO, IL
Past

October 9, 1989 - December 20, 1990

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 25, 1987 - October 9, 1989

OPPENHEIMER GOVERNMENT SECURITIES, INC.

BD
CRD#: 19715

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 9/25/2012
Operations Professional Examination

Current Firm

CS
CITADEL SECURITIES INSTITUTIONAL LLC
CITADEL SECURITIES INSTITUTIONAL LLC

CRD#: 281102 / SEC#: , 8-69663

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
830 Brickell Plaza, Miami, FL 33131
Mailing Address
830 Brickell Plaza, Miami, FL 33131
Phone number
(305) 929-6851
Established
Delaware since 06/08/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CSHC US LLCOWNER
ZHAO, PENGCHIEF EXECUTIVE OFFICER4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)MANAGING MEMBER
HAROLD, MARC RYANCHIEF COMPLIANCE OFFICER3200916
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER5587809

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.

Company Information

CITADEL SECURITIES INSTITUTIONAL LLC

CRD#: 281102

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