Karen S. Mathews
Professional summary
Karen Svenningsen Mathews, who also goes by Karen Svenningsen Mathews, Karen S Mathews, Karen A Svenningsen, Karen Ann Svenningsen, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1987. Karen has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Svenningsen Mathews's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901April 2, 2021 - June 1, 2021
MORGAN STANLEY
October 3, 2018 - October 8, 2020
RAYMOND JAMES & ASSOCIATES, INC.
February 11, 2016 - October 31, 2018
RAYMOND JAMES INSURANCE GROUP, INC.
February 13, 2013 - December 31, 2015
RAYMOND JAMES & ASSOCIATES, INC.
April 12, 2001 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
May 28, 1999 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
December 24, 1987 - January 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2023)
(4/21/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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