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KB

Karen A. Brault

BAYSTATE CAPITAL SERVICES
Holyoke, MA 01040
Some features on this profile are disabled
CRD#: 1794609
KB

Professional summary

Karen Ann Brault, who also goes by Karen Ann Brault Moson, is a registered financial professional currently at BAYSTATE CAPITAL SERVICES, INC. located in Holyoke, Massachusetts.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1989. Karen has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Ann Brault Moson

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) - BD

Click below to view Karen Ann Brault's 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

June 13, 1995 - Present

BAYSTATE CAPITAL SERVICES, INC.

Office #1: 330 Whitney Avenue, Suite 500, Holyoke, MA 01040Office #2: 330 Whitney Avenue, Suite 500, Holyoke, MA 01040
BD
CRD#: 38007
Holyoke, MA
Past

July 30, 1992 - July 5, 1995

FIRST VARIABLE CAPITAL SERVICES, INC.

BD
CRD#: 30007
BIRMINGHAM, AL
Past

May 6, 1991 - December 7, 1992

MONARCH SECURITIES, INC.

BD
CRD#: 2809
Past

May 2, 1989 - June 4, 1991

MONARCH FINANCIAL SERVICES, INC.

BD
CRD#: 8520

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

State Security Law Exam
RR
Series 63
Date: 2/11/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/11/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BAYSTATE CAPITAL SERVICES, INC.
BAYSTATE CAPITAL SERVICES, INC.

CRD#: 38007 / SEC#: , 8-48054

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

Main Address
330 Whitney Avenue, Suite 500, Holyoke, MA 01040
Mailing Address
330 Whitney Avenue, Suite 500, Holyoke, MA 01040
Phone number
(413) 784-6764
Established
Massachusetts since 11/16/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MONARCH LIFE INSURANCE COMPANYOWNER
ARITAN, ATILLA GEORGEPRESIDENT, DIRECTOR1903299
COULTON, JOHN SEYWERTSECRETARY, DIRECTOR & CHIEF COMPLIANCE OFFICER2005749
HUMPHREY, LARRY MAURICETREASURER, DIRECTOR1050138
MCADOO, KEVIN, JOSEPHDIRECTOR

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

BAYSTATE CAPITAL SERVICES, INC.

CRD#: 38007Holyoke, MA 01040

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