Karen M. Midlaw
Professional summary
Karen Marie Midlaw, who also goes by Karen Marie Midlaw, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1993. Karen has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Marie Midlaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2022 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281November 1, 2010 - October 11, 2022
E*TRADE SECURITIES LLC
February 2, 2006 - December 9, 2008
NATIONAL FINANCIAL SERVICES LLC
December 10, 2004 - May 9, 2005
COWEN AND COMPANY
March 5, 2004 - November 10, 2004
UBS CAPITAL MARKETS L.P.
June 8, 2000 - February 25, 2003
H.C.WAINWRIGHT & CO., LLC
November 9, 1999 - May 17, 2000
GOLDMAN SACHS & CO. LLC
May 21, 1999 - November 1, 1999
GILFORD SECURITIES INCORPORATED
January 31, 1997 - May 19, 1999
BLUESTONE CAPITAL CORP.
September 27, 1996 - April 1, 1997
BROOKEHILL CAPITAL PARTNERS LIMITED
December 8, 1993 - September 23, 1996
BLUESTONE CAPITAL 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
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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