Karen J. Conway
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 Jacqueline Conway, who also goes by Karen Jacqueline Cohen, Karen Cohen, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1994. Karen had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - February 11, 2016
VALLEY WEALTH MANAGERS, INC.
September 26, 2008 - May 15, 2009
SOVEREIGN SECURITIES CORPORATION, LLC
May 29, 2007 - October 29, 2007
CITIGROUP GLOBAL MARKETS INC.
February 28, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 5, 2004 - August 14, 2006
TRUIST INVESTMENT SERVICES, INC.
January 2, 2001 - November 22, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 4, 1998 - January 2, 2001
JWGENESIS SECURITIES, INC.
August 16, 1994 - February 25, 1997
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
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
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,957 |
| AUM (Assets Under Management) | $ 2,317,257,859 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/07/2023 | ||
| 10/04/2022 |
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.
