S. J. Karp
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.
S. Joel Karp, who also goes by S Joel Karp, Seymour Joel Karp, was a registered financial professional .
S. is a previously registered financial professional and started their career in finance in 1991. S. had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2011 - October 9, 2014
POIRIER, MICHAEL LOUIS
February 2, 1994 - October 31, 2011
OSAIC WEALTH, INC.
January 14, 1994 - July 5, 2011
KARN, COUZENS & ASSOCIATES, INC.
November 16, 1993 - October 31, 2011
OSAIC WEALTH, INC.
January 31, 1991 - December 3, 1993
IDS LIFE INSURANCE COMPANY
January 31, 1991 - December 3, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
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
POIRIER, MICHAEL LOUIS
CRD#: 123390 / 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.
