Karen L. Cowan
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 Lee Cowan, who also goes by Karen L Larson, Karen Lee Larson, Karen L Miller, Karen Lee Miller, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1990. Karen had worked at 12 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2013 - February 12, 2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 13, 2011 - March 11, 2011
U.S. BANCORP INVESTMENTS, INC.
April 27, 2009 - July 8, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 29, 2007 - April 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2006 - July 6, 2006
MORGAN STANLEY DW INC.
January 11, 2005 - March 31, 2006
AMERIPRISE ADVISOR SERVICES, INC.
July 14, 2003 - March 10, 2004
A. G. EDWARDS & SONS, INC.
April 4, 2001 - July 27, 2001
DST SECURITIES, INC.
April 10, 1998 - May 24, 1999
BMA FINANCIAL SERVICES, INC.
June 6, 1997 - October 10, 1997
CHARLES SCHWAB & CO., INC.
March 10, 1995 - February 21, 1996
COMMERCE BROKERAGE SERVICES, INC.
August 9, 1994 - December 9, 1994
BMA FINANCIAL SERVICES, INC.
June 30, 1993 - December 3, 1993
PIPER SANDLER & CO.
March 20, 1990 - June 30, 1993
KEMPER 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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
