Karen L. Peters

SEARLE & CO.

Yardley, PA 19067

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CRD#: 2080613

Professional summary

Karen Lynn Peters, who also goes by Karen Lynn Gergel, is a registered financial professional currently at SEARLE & CO. located in Yardley, Pennsylvania.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1990. Karen has worked at 3 firms and has passed the Series 63, Series 99TO, Series 72, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen Lynn Gergel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Lynn Peters's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 31, 1992 - Present

SEARLE & CO.

Office #1: 19 South Main Street, Yardley, PA 19067

RIA

CRD#: 13035

Yardley, PA

Past

May 24, 2017 - August 19, 2025

SECURITIES RESEARCH, INC. OF FLORIDA

CRD#: 6516

VERO BEACH, FL

Past

August 21, 1990 - January 3, 1992

CLARKE & CO.

CRD#: 25977

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/25/1994)

Pennsylvania
(2/4/1992)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 8/3/1990

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (11/27/2024)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 648,957,944

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Karen L. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Lynn Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES RESEARCH, INC. OF FLORIDA

CLARKE & CO.

Primary Firm SEC Registration

SEARLE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/1991

Series 99TO

Date: 1/2/2023

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 27

Date: 8/3/1990

FINRA

Current Firm

SEARLE & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SEARLE & CO.

TRUST BUT VERIFY

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