Karen A. Mathews
Professional summary
Karen Ann Mathews, who also goes by Karen Ann Fine, Karen Mathews Fine, Karen A Mathews, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Chicago, Illinois and FIDELITY BROKERAGE SERVICES LLC located in Chicago, Illinois.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1990. Karen has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Ann Mathews's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2001 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 233 South Wacker Drive Suite 4850, Chicago, IL 60606October 22, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 233 South Wacker Drive Suite 4850, Chicago, IL 60606December 8, 1993 - February 20, 2001
LPL FINANCIAL LLC
January 25, 1990 - December 15, 1993
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
(1/2/2004)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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