Karen P. D Aloia

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CRD#: 2584644

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 P D Aloia, who also goes by Karen Renee D'aloia, Karen Perkins Daloia, Karen Renee Perkins, was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1995. Karen had worked at 4 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen Renee D'aloia | Karen Perkins Daloia | Karen Renee Perkins

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

December 2, 2013 - May 2, 2016

BGM WEALTH MANAGEMENT

RIA

CRD#: 110483

BLOOMINGTON, MN

Past

January 25, 2001 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 23, 2000 - December 21, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

February 7, 1995 - August 19, 1998

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

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".

BGM WEALTH MANAGEMENT

CRD#: 110483 / SEC#: 801-53285

RIA

Registered Investment Advisory firm - (11/18/1996 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.

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

Series 63

Date: 6/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/16/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/5/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/3/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

BGM WEALTH MANAGEMENT

CRD#: 110483 / SEC#: 801-53285

RIA

Registered Investment Advisory firm - (11/18/1996 Approved)

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Contact information

Main Address

7900 International Drive Suite 800, Bloomington, MN 55425

Mailing Address

Phone number

(952) 844-2500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BGM WEALTH ADV 2 DECEMBER 2024 (1/14/2025)

Regulatory assets under management

Total Number of Accounts	814
AUM (Assets Under Management)	$ 433,347,404

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/23/2025	Cover Page	Report
10/16/2024	Cover Page	Report
01/19/2024	Cover Page	Report

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 P. D Aloia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

WACHOVIA BROKERAGE SERVICE

Primary Firm SEC Registration

BGM WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/1995

Series 7

Date: 5/16/1995

Series 10

Date: 3/5/2001

Series 9

Date: 3/3/2001

Current Firm

BGM WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BGM WEALTH MANAGEMENT

TRUST BUT VERIFY

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