Karen J. Aguilar
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 J Aguilar, who also goes by Karen Jean Aguilar, Karen Jean Aquilar, Karen Jean Fowler, Karen Jean Stromme, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1989. Karen had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2007 - July 27, 2016
TD AMERITRADE, INC.
May 1, 2007 - July 27, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2007 - July 27, 2016
TD AMERITRADE, INC.
July 8, 1997 - June 28, 2006
CHARLES SCHWAB & CO., INC.
December 13, 1990 - June 28, 2006
CHARLES SCHWAB & CO., INC.
August 22, 1989 - December 5, 1990
WEDBUSH SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
