Karen S. Crawley
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 Smith Crawley, who also goes by Karen Marie Smith, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1990. Karen had worked at 2 firms and has passed the Series 65, Series 63 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
April 16, 2015 - December 18, 2017
CARROT ADVISERS LLC
February 12, 2010 - December 31, 2014
CARROT ADVISERS LLC
February 3, 2006 - December 31, 2009
CARROT ADVISERS LLC
June 6, 1990 - October 14, 1991
HAWTHORNE DISTRIBUTORS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CARROT ADVISERS LLC
CRD#: 137189 / SEC#:
Contact information
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.
