Karen C. Guthrie
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 Colleen Guthrie, who also goes by Karen Colleen Eggers, Karen Colleen Gaul, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1989. Karen had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2002 - May 19, 2003
WORLD GROUP SECURITIES, INC.
December 12, 2001 - April 12, 2002
WMA SECURITIES, INC.
June 13, 2000 - May 21, 2001
THE ADVISORS GROUP, INC.
March 16, 1999 - June 7, 2000
GROVE POINT INVESTMENTS, LLC
January 16, 1998 - February 11, 1998
CINCINNATI ANALYSTS, INC.
January 2, 1998 - January 27, 1998
CADARET, GRANT & CO., INC.
August 1, 1996 - January 2, 1998
PINEBRIDGE SECURITIES LLC
January 3, 1996 - June 20, 1996
DIRECTED SERVICES LLC
February 3, 1995 - August 1, 1995
MARKETING ONE SECURITIES, INC.
March 15, 1990 - October 22, 1992
DATAPLAN SECURITIES, INC.
March 15, 1990 - January 25, 1995
CRI SECURITIES, LLC
June 2, 1989 - January 25, 1995
SECURIAN FINANCIAL SERVICES, 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
Exams
Current Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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.
