Karen R. Figel
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 Regina Figel, who also goes by Karen Regina Lorz, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1995. Karen had worked at 2 firms and has passed the Series 66, Series 63, SIE 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
July 10, 2017 - January 16, 2018
HEFREN-TILLOTSON, INC.
January 28, 2009 - January 16, 2018
HEFREN-TILLOTSON, INC.
January 6, 1995 - May 31, 2000
PARKER/HUNTER INCORPORATED
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
Current Firm
HEFREN-TILLOTSON, INC.
CRD#: 53 / SEC#: 801-55083, 8-10646
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASTERPLAN, INC. | OWNER OF HEFREN TILLOTSON | |
| BELT, DONALD MCGHEE | PRESIDENT | 2252406 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| FLEMING, KIMBERLY TILLOTSON | DIRECTOR | 871264 |
| MEREDITH, JAMES GERARD | EXECUTIVE VICE PRESIDENT | 853602 |
| NIESSLEIN, JOSEPH M | CFO / TREASURER | 3057789 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| TADDEO, PAUL EDWARD | CHIEF COMPLIANCE OFFICER | 1259114 |
| TILLOTSON, CRAIG ARTHUR | VICE CHAIRMAN | 1296742 |
Regulatory assets under management
| Total Number of Accounts | 30,861 |
| AUM (Assets Under Management) | $ 12,430,043,340 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
