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KW

Karen C. Worobel

Some features on this profile are disabled
CRD#: 2475385
KW

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 Christine Worobel, who also goes by Karen C Worobel, was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1995. Karen had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen C Worobel

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 11, 2020 - December 1, 2021

PROSPERITY CAPITAL ADVISORS

RIA
CRD#: 156480
Red Bank, NJ
Past

December 14, 2018 - November 6, 2019

CETERA ADVISORS LLC

RIA
CRD#: 10299
RED BANK, NJ
Past

December 7, 2018 - November 6, 2019

CETERA ADVISORS LLC

BD
CRD#: 10299
RED BANK, NJ
Past

September 9, 2004 - February 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
RED BANK, NJ
Past

October 28, 2002 - February 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
RED BANK, NJ
Past

July 15, 1999 - February 1, 2001

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

June 19, 1996 - July 14, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 24, 1995 - May 3, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/26/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1995
General Securities Representative Examination

Current Firm

PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)
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Contact information

Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
AUM (Assets Under Management)$ 3,684,966,200

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

PROSPERITY CAPITAL ADVISORS

CRD#: 156480

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