Karen J. Bacon
DIVERSIFIED RESOURCES
Warwick, RI 02888
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CRD#: 2410249
Professional summary
Karen Josephine Bacon, CFP®, who also goes by Karen Josephine Wright, is a registered financial advisor currently at DIVERSIFIED RESOURCES, LLC located in Warwick, Rhode Island.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Karen has worked at 2 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14, Series 51 and Series 24 exams.
Question & Answer
What are your service offerings?
Divorce Planning
Investment Planning
Retirement Planning
Insurance Planning
Long-term Care
Comprehensive Financial Planni...
How do you get paid?
Commission and Fee
Are you a "fiduciary"?
Yes
Aliases
Karen Josephine Wright
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.) NAME OF OBA: KAREN J. BACON, INDEPENDENT INSURANCE AGENT; ADDRESS OF OBA: WARWICK, RI 02888; NATURE: CONDUCTS INDEPENDENT PERSONAL INSURANCE SALES (TERM INSURANCE, LONG TERM DISABILITY INSURANCE AND LONG TERM CARE INSURANCE); INVESTMENT RELATED: YES; TITLE: INDEPENDENT INSURANCE AGENT; DUTIES: MANAGING THE BUSINESS AND AFFECTING SALES; START DATE: 12/2002; APPROX. NUMBER OF HOURS/MONTH: 10; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: SOME MAY BE DURING TRADING HOURS; (2.) NAME OF OBA: PRIVATE RENTAL REAL ESTATE; ADDRESS OF OBA: WARWICK, RI 02888; NATURE: REAL ESTATE; INVESTMENT RELATED: YES; TITLE: OWNER; DUTIES: ASSISTING TENANTS AS NEEDED WITH ANY ISSUES IN THE PROPERTY AND MANAGEMENT OF THE PROPERTY; START DATE: 11/2015; APPROX. NUMBER OF HOURS/MONTH: 0-2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0. (3) NAME OF OBA: CAPITAL CONDO ASSOCIATION; ADDRESS OF OBA: WARWICK, RI 02888; NATURE: MANAGEMENT AND FINANCIAL; INVESTMENT RELATED: NO; TITLE: PRESIDENT AND TREASURER; DUTIES: PRESIDENT - BUILDING MANAGEMENT DUTIES, WORKING WITH VENDORS, AND OTHER OWNERS FOR GENERAL MAINTENANCE, BUILDING IMPROVEMENTS, AND ANY ISSUES THAT MAY ARISE; TREASURER - FINANCIAL MANAGEMENT OF THE ASSOCIATION, BASIC BOOKKEEPING DUTIES, RECORDKEEPING, BANKING, CASH MANAGEMENT, FINANCIAL PLANNING, AND INTERNAL CONTROLS; START DATE: 03/08/2024; APPROX. NUMBER OF HOURS/MONTH: 2-4; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 2-4.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Josephine Bacon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Josephine Bacon's 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®
CFP®
Start date: 2007
Experience
Current
June 24, 2004 - Present
DIVERSIFIED RESOURCES, LLC
Office #1: 70 Jefferson Blvd., Warwick, RI 02888Office #2: 70 Jefferson Blvd 4th Floor, Warwick, RI 02888Office #3: 70 Jefferson Blvd 4th Floor, Warwick, RI 02888RIA
BD
CRD#: 31346
Warwick, RI
Current
June 22, 2004 - Present
DIVERSIFIED RESOURCES, LLC
Office #1: 70 Jefferson Blvd., Warwick, RI 02888Office #2: 70 Jefferson Blvd. 4th Floor, Warwick, RI 02888Office #3: 70 Jefferson Blvd 4th Floor, Warwick, RI 02888RIA
BD
CRD#: 31346
Warwick, RI
Past
January 18, 2002 - June 22, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 18, 1994 - January 7, 2002
DIVERSIFIED RESOURCES, LLC
BD
CRD#: 31346
WARWICK, RI
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".
DR
DIVERSIFIED RESOURCES, LLC
DIVERSIFIED RESOURCES | WRIGHT, GEORGE EDWARD | DIVERSIFIED RESOURCES, LLC
CRD#: 31346 / SEC#: 801-108432, 8-45497
RIA
Registered Investment Advisory firm - SEC (9/21/2016 Approved)Florida
Registered Investment Advisory firm - SEC (10/13/2016 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (10/13/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (10/13/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/5/2022)
RR
Connecticut(6/28/2022)
RR
Florida(6/3/2005)
RR
Indiana(6/25/2024)
RR
Maine(4/25/2017)
RR
Massachusetts(6/22/2004)
RR
New Hampshire(3/22/2017)
RR
New York(6/22/2004)
RR
Pennsylvania(10/21/2020)
RR
Rhode Island(6/22/2004)
IAR
Rhode Island(6/30/2004)
IAR
Texas(4/22/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DR
DIVERSIFIED RESOURCES, LLC
DIVERSIFIED RESOURCES | WRIGHT, GEORGE EDWARD | DIVERSIFIED RESOURCES, LLC
CRD#: 31346 / SEC#: 801-108432, 8-45497
RIA
Registered Investment Advisory firm - SEC (9/21/2016 Approved)Florida
Registered Investment Advisory firm - SEC (10/13/2016 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (10/13/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (10/13/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
70 Jefferson Blvd. 4th Floor, Warwick, RI 02888
Mailing Address
70 Jefferson Blvd. 4th Floor, Warwick, RI 02888
Phone number
(401) 941-1500
Established
Rhode Island since 01/16/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
7
SEC notice filing (8 States and Territories)
FINRA licenses (11 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BACON, KAREN JOSEPHINE | MANAGING MEMBER ,PRINCIPAL AND CCO | 2410249 |
Regulatory assets under management
| Total Number of Accounts | 1,139 |
| AUM (Assets Under Management) | $ 233,686,640 |
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
DIVERSIFIED RESOURCES, LLC
CRD#: 31346Warwick, RI 02888TRUST BUT VERIFY
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Contact information
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