KB
Karen L. Buckley
LPL ENTERPRISE
VIENNA, VA 22182
Some features on this profile are disabled
CRD#: 2536939
KB
Professional summary
Karen Lynn Buckley, who also goes by Karen Lynn Buckley-camp, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Vienna, Virginia.
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 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Lynn Buckley-Camp
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) 12/05/2024- K Buckley Advisors & Associates- Business Entity For Tax/Investment Purposes Only- LLC created as S-Corp for prior broker/dealer advisory income- Not INV Related- At Vienna, VA- Start date 01/01/2023- 0 HRS MTH- 0 HRS during trading 2) 12/04/2024- Estia Focused Financial- DBA for LPL Business (entity for LPL business)- Financial planning and advisory services- INV Related- At Vienna, VA- Start date 09/09/2024- 160 HRS MTH- 120 HRS During trading 3) 12/12/2024 - Karen L Buckley - Non-Variable Insurance/Insurance Agency - Insurance broker, sale and servicing of health, dental, vision, short & long term disability, long term care insurance to individual and businesses. - INV Related - At Vienna, VA - Start Date 01/01/2022 - 10hrs/mth - 5hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Karen Lynn Buckley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Lynn Buckley'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1919 Gallows Road Suite 100, Vienna, VA 22182RIA
BD
CRD#: 8733
VIENNA, VA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1919 Gallows Road Suite 100, Vienna, VA 22182RIA
BD
CRD#: 8733
VIENNA, VA
Past
September 10, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
VIENNA, VA
Past
September 10, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
VIENNA, VA
Past
March 25, 2017 - September 17, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
McLean, VA
Past
March 25, 2017 - September 17, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
McLean, VA
Past
March 25, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ROCKVILLE, MD
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROCKVILLE, MD
Past
November 30, 2005 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
ROCKVILLE, MD
Past
July 1, 2005 - November 14, 2005
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 15, 1994 - June 21, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Illinois(11/14/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Minnesota(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Tennessee(6/16/2025)
RR
Virginia(11/14/2024)
IAR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
