Karen I. Fox
Professional summary
Karen Irene Fox, who also goes by Karri Fox, Karen Irene Kaapke, Karen Kaapke, Karri Kaapke, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in Chicago, Illinois.
Karen is registered as a RR (Registered Representative) and started their career in finance in 2001. Karen has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Irene Fox's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2017 - Present
CIBC WORLD MARKETS CORP.
Office #1: 181 West Madison Street 35th Floor, Chicago, IL 60602January 31, 2013 - October 31, 2017
GNV ADVISORS, LLC
March 28, 2006 - July 13, 2011
HOWE BARNES HOEFER & ARNETT, INC.
June 9, 2005 - April 12, 2006
RAYMOND JAMES & ASSOCIATES, INC.
March 29, 2004 - June 17, 2005
RBC CAPITAL MARKETS, LLC
February 28, 2001 - April 26, 2004
HOWE BARNES HOEFER & ARNETT, 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
(10/31/2017)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
