Karen A. Caselli
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 Caselli, CFP®, who also goes by Karen A Schroeder, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1992. Karen had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2016 - December 31, 2020
DAVID SMITH ADVISORY
July 24, 2006 - April 20, 2016
LPL FINANCIAL LLC
October 24, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
October 24, 2001 - July 24, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 13, 1998 - December 14, 2000
WESTMINSTER FINANCIAL SECURITIES, INC.
February 22, 1993 - October 15, 1998
OSAIC WEALTH, INC.
August 20, 1992 - November 3, 1992
CAL FED INVESTMENTS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DAVID SMITH ADVISORY
CRD#: 153108 / SEC#: 801-112898
Contact information
Red Flags
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