Karen M. Obrien

LIFEMARK SECURITIES

Middleburg, FL

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CRD#: 1678565

Professional summary

Karen Marie Obrien, who also goes by Karen Obrien Allain, Karen O'brien Lackey, Karen Obrien Lackey, Karen Marie Obrien, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Middleburg, Florida.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Karen has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Obrien Allain | Karen O'brien Lackey | Karen Obrien Lackey | Karen Marie Obrien

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.

1. INDEPENDENT INSURANCE AGENT / NOT INVESTMENT RELATED / 2023 CANYON RIM PLACE, MIDDLEBURG, FL 32068 / START 01/2012 / 160 HOURS/MONTH / 120 HOURS/MONTH DURING SECURITIES TRADING HOURS / SALES AND SERVICES OF MEDICARE INSURANCE. 2. ARTIC SOLAR, INC. / NOT INVESTMENT RELATED / 1057 ELLIS ROAD N #17, JACKSONVILLE, FL 32254 / PARTNER, CO-FOUNDER / START 01/2012 / 10 HOURS PER WEEK / CURRENTLY THE BUSINESS IN NOT MAKING MONEY. CURRENTLY WORKING ON PROJECT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Marie Obrien's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Karen Marie Obrien'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®

None

Experience

Current

October 31, 2018 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Middleburg, FL

Current

October 29, 2018 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Middleburg, FL

Past

February 2, 2017 - October 31, 2018

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

MIDDLEBURG, FL

Past

February 1, 2017 - October 31, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

August 15, 2014 - January 24, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

JACKSONVILLE, FL

Past

March 6, 2014 - January 24, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

JACKSONVILLE, FL

Past

December 1, 2007 - March 3, 2014

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

KEYSTONE HEIGHTS, FL

Past

January 3, 2006 - March 3, 2014

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

October 8, 2003 - January 4, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

July 30, 1999 - September 19, 2003

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

CEDAR RAPIDS, IA

Past

October 29, 1996 - December 31, 2000

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

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".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(10/29/2018)

IAR

Florida
(10/31/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/28/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

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.

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Karen M. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Marie Obrien's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Karen Marie Obrien's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

VALIC FINANCIAL ADVISORS, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2007

Series 63

Date: 8/6/2007

SIE

Date: 10/1/2018

Series 6

Date: 10/28/1996

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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