Karen E. Essa
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 Elizabeth Essa, who also goes by Karen E Doyle, Karen Elizabeth Doyle, Karen E Essa, Karen Elizabeth Macpherson, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1991. Karen had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2008 - April 25, 2013
RAYMOND JAMES & ASSOCIATES, INC.
November 14, 2008 - April 25, 2013
RAYMOND JAMES & ASSOCIATES, INC.
October 3, 2008 - December 5, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 16, 2008 - December 5, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 23, 1998 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 25, 1996 - October 13, 1998
UBS FINANCIAL SERVICES INC.
July 30, 1996 - August 15, 1996
CITIGROUP GLOBAL MARKETS INC.
February 10, 1995 - May 21, 1996
BENJAMIN & JEROLD BROKERAGE I, LLC
February 24, 1993 - January 31, 1995
INVESCO CAPITAL MARKETS, INC.
October 25, 1991 - November 9, 1992
EDWARD JONES
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
