Karen S. Billings
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 Sue Billings, who also goes by Casey Billings, Karen Sue Casey, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1969. Karen had worked at 23 firms and has passed the Series 63, Series 41, Series 000, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1998 - April 20, 1999
BRUNSWICK EMERGING MARKETS USA, INC.
May 4, 1998 - December 23, 1998
CLEMENTE FUND MANAGEMENT INC
January 20, 1998 - April 29, 1998
CORYO INTERNATIONAL NEW YORK INC.
November 6, 1997 - April 20, 1999
WINDSOR IBC, INC.
November 13, 1996 - May 8, 1997
MULTINVESTMENTS, INC.
March 1, 1994 - December 31, 1994
NAVA SC SECURITIES, INC.
January 4, 1994 - January 3, 1995
PACTUAL CAPITAL CORPORATION
August 6, 1993 - September 7, 1994
BBVA INVESTMENTS INC.
July 21, 1993 - November 2, 1993
MULTINVESTMENTS, INC.
June 18, 1993 - December 31, 1994
RAM SECURITIES, INC.
February 18, 1993 - June 27, 1994
WEST BROADWAY PARTNERS L.P.
December 21, 1992 - August 9, 1994
AEB CORPORATION
November 4, 1992 - January 23, 1996
BEACON SECURITIES, INC.
October 9, 1990 - October 2, 1997
JOSEPH GUNNAR & CO. LLC
January 26, 1989 - May 1, 1990
THE STAMFORD COMPANY, INC.
September 3, 1985 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
July 9, 1985 - August 7, 1985
TRIPP & CO., INC.
August 24, 1984 - April 1, 1991
CHALLENGE SECURITIES INC.
December 15, 1983 - June 21, 1984
D. H. BLAIR & CO., INC.
September 7, 1983 - June 13, 1985
FELDMAN,CUMMING & CO., INC.
March 4, 1983 - August 9, 1988
PURCELL GRAHAM INCORPORATED
October 11, 1974 - February 1, 1982
DOUGLAS STEWART INCORPORATED
March 14, 1973 - October 5, 1974
VAN BERGEN & CO., INCORPORATED
August 7, 1969 - March 23, 1973
UBS ASSET MANAGEMENT (US) 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
Series 41
Date: 1/30/1976
NYSE Allied Member ExaminationSeries 000
Date: 12/15/1967
General Securities Principal ExaminationSeries 1
Date: 12/15/1967
Registered Representative ExaminationF04
Date: 12/4/1975
Financial Principal ExaminationSeries 40
Date: 10/18/1973
Registered Principal ExaminationCurrent Firm
BRUNSWICK EMERGING MARKETS USA, INC.
CRD#: 44866 / SEC#: , 8-50887
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNSWICKDIRECT LTD (CAYMAN ISLAND) | SHAREHOLDER | |
| HAGEN, JOHN ALFRED | GENERAL SECURITIES PRINCIPAL; DIRECTOR; FINANCIAL & OPERATIONS PRINCIPAL | 1464457 |
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.
