Karen A. Principe

MEGAANNUM CAPITAL

Downingtown, PA 19335

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CRD#: 2511335

Professional summary

Karen Ann Principe, who also goes by Karen Dougherty, is a registered financial advisor currently at MEGAANNUM CAPITAL, LLC located in Downingtown, Pennsylvania.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Karen has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Dougherty

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.

I work for Mascherino Financial Group LLC to provide insurance services. I work remotely. I will get compensated by commission, not investment related. I spend about two hours a week on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Ann Principe'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®

None

Experience

Current

May 5, 2023 - Present

MEGAANNUM CAPITAL, LLC

Office #1: 341 E. Lancaster Ave, Downingtown, PA 19335

RIA

CRD#: 171002

Downingtown, PA

Past

May 14, 1996 - April 1, 2002

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(5/5/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/13/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MEGAANNUM CAPITAL, LLC

MASCHERINO, PHILIP MICHAEL | MEGAANNUM CAPITAL, LLC

CRD#: 171002 / SEC#:

Delaware

Registered Investment Advisory firm - (12/31/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/12/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

341 E. Lancaster Ave, Downingtown, PA 19335

Mailing Address

Phone number

(484) 612-5728

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 4,838,583

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.

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Karen A. Principe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Ann Principe's CRS (Customer Relationship Summary).

Certified licenses

Experience

MEGAANNUM CAPITAL, LLC

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2021

Series 63

Date: 7/16/1996

Series 6

Date: 5/13/1996

Current Firm

MEGAANNUM CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MEGAANNUM CAPITAL, LLC

TRUST BUT VERIFY

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