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KM

Karen D. Morse

626 FINANCIAL
Portage, MI 49024
Some features on this profile are disabled
CRD#: 2200990
KM

Professional summary

Karen Deborah Morse, who also goes by Karen Deborah Garlock, Karen D Morse, is a registered financial advisor currently at 626 FINANCIAL, LLC located in Portage, Michigan.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Karen has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Karen Deborah Garlock | Karen D Morse

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.
1. 4/6/2021 - 626 Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin. - Started 04/06/2021 - 176 Hours Per Month/143 Hours During Securities Trading - I provide administrative support to 626 Financial, LLC, an independent investment advisor firm. I started this business activity in 04/2021. I expect to spend approximately 176 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Deborah Morse'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

March 31, 2021 - Present

626 FINANCIAL, LLC

Office #1: 7950 Moorsbridge Road Suite 104, Portage, MI 49024
RIA
CRD#: 306474
Portage, MI
Past

February 22, 2018 - September 23, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
PORTAGE, MI
Past

February 22, 2018 - September 23, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
PORTAGE, MI
Past

June 27, 2016 - February 23, 2018

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
KALAMAZOO, MI
Past

April 3, 2007 - February 23, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
KALAMAZOO, MI
Past

September 13, 2005 - August 1, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MEMPHIS, TN
Past

May 15, 1992 - July 21, 2004

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI

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".
6F
626 FINANCIAL, LLC
626 FINANCIAL | 626 FINANCIAL, LLC

CRD#: 306474 / SEC#: 801-120219

RIA
Registered Investment Advisory firm - (1/22/2021 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Michigan
(3/31/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/23/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/12/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/1992
General Securities Representative Examination

Current Firm

6F
626 FINANCIAL, LLC
626 FINANCIAL | 626 FINANCIAL, LLC

CRD#: 306474 / SEC#: 801-120219

RIA
Registered Investment Advisory firm - (1/22/2021 Approved)
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Contact information

Main Address
7950 Moorsbridge Road Suite 104, Portage, MI 49024
Mailing Address
Phone number
(269) 321-5040
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

626 FINANCIAL DISCLOSURE BROCHURE, WRAP FEE PROGRAM BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (3/5/2025)

Regulatory assets under management

Total Number of Accounts1,179
AUM (Assets Under Management)$ 326,426,686

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.

Company Information

626 FINANCIAL, LLC

CRD#: 306474Portage, MI 49024

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Contact information

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