Karen R. Bottar
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 Rose Bottar, who also goes by Karen Bottar, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2000. Karen had worked at 2 firms and has passed the Series 65, 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
February 1, 2016 - April 16, 2020
BOSTON FINANCIAL MANAGEMENT LLC
October 1, 2000 - July 6, 2006
BROWN BROTHERS HARRIMAN & CO.
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
BOSTON FINANCIAL MANAGEMENT LLC
CRD#: 112360 / SEC#: 801-11178
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,056 |
| AUM (Assets Under Management) | $ 5,013,997,070 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 09/20/2023 | ||
| 12/19/2022 |
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.
