Karen A. Parlock
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 Ann Parlock, who also goes by Karen A Parlock, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1995. Karen had worked at 9 firms and has passed the Series 63, Series 55 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
January 13, 2009 - March 13, 2012
COWEN SECURITIES LLC
November 7, 2007 - January 23, 2008
UNICREDIT CAPITAL MARKETS LLC
August 31, 2006 - October 16, 2007
ATON SECURITIES, INC.
August 2, 2005 - February 16, 2006
UST SECURITIES CORP.
January 11, 2002 - April 1, 2005
ADVEST, INC.
April 30, 2001 - June 1, 2001
ABN AMRO SECURITIES LLC
January 2, 1997 - April 30, 2001
ABN AMRO INCORPORATED
December 19, 1995 - January 2, 1997
THE CHICAGO CORPORATION
June 5, 1995 - November 10, 1995
BMO CAPITAL MARKETS CORP.
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 55
Date: 3/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
COWEN SECURITIES LLC
CRD#: 23510 / SEC#: , 8-40487
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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.
