Karen J. Christen
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 Joan Christen, who also goes by Karen Joan Nelson, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1995. Karen had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2013 - December 31, 2016
CABOT LODGE SECURITIES LLC
October 3, 2011 - August 8, 2013
ALLIED BEACON PARTNERS, INC.
October 7, 2010 - September 30, 2011
WORKMAN SECURITIES CORPORATION
December 1, 2006 - October 1, 2010
QUESTAR CAPITAL CORPORATION
July 28, 2000 - December 1, 2006
USALLIANZ SECURITIES, INC.
March 20, 1995 - July 20, 2000
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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