Karen L. Seifert
Professional summary
Karen Lyn Seifert, who also goes by Karen Lynn Seifert, is a registered financial professional currently at TRADEWEB DIRECT LLC located in Jersey City, New Jersey.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1992. Karen has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Lyn Seifert's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2019 - Present
TRADEWEB DIRECT LLC
Office #1: 185 Hudson Street Harborside 5, Suite 22, Jersey City, NJ 07311October 11, 2011 - September 16, 2019
DEALERWEB LLC
March 11, 2004 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
June 10, 1994 - April 30, 2004
J.J. KENNY DRAKE, INC.
April 6, 1993 - April 14, 1994
MINT BROKERS
February 24, 1992 - April 12, 1993
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2019)
Exams
FINRA
Current Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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