Karen L. Mccann
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 Lynn Mccann, who also goes by Karen Lynn Bascomb, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1995. Karen had worked at 9 firms and has passed the Series 63, Series 7TO, 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
March 15, 2012 - October 12, 2020
CNL SECURITIES CORP.
February 23, 2012 - March 15, 2012
NEXT FINANCIAL GROUP, INC.
July 30, 2009 - January 7, 2010
CM SECURITIES, LLC
April 5, 2007 - June 2, 2009
KBS CAPITAL MARKETS GROUP LLC
February 10, 2004 - March 20, 2007
CNL SECURITIES CORP.
August 22, 2002 - January 27, 2004
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
October 19, 2000 - August 9, 2002
GUARDIAN INVESTOR SERVICES LLC
January 10, 1997 - October 2, 2000
COREBRIDGE CAPITAL SERVICES, INC.
July 11, 1996 - December 23, 1996
GT GLOBAL, INC.
February 16, 1995 - July 11, 1996
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/3/2022
General Securities Representative ExaminationCurrent Firm
CNL SECURITIES CORP.
CRD#: 10356 / SEC#: , 8-26901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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