Karen E. Stewart
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 E Stewart, who also goes by Karen Elizabeth Stewart, Karen Stewart, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2001. Karen had worked at 3 firms and has passed the Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - November 19, 2020
NUVEEN SECURITIES, LLC
March 11, 2003 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 20, 2001 - January 26, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
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
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationSeries 6TO
Date: 7/1/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
