Karen A. Feeney

ALPS DISTRIBUTORS

NEW YORK, NY 10011-6901

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CRD#: 2654078

Professional summary

Karen Ann Feeney, CFP®, CIMA®, who also goes by Karen A Gomory, Karen Ann Gomory, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1995. Karen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen A Gomory | Karen Ann Gomory

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) - BD

Click below to view Karen Ann Feeney'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®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 10, 2019 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 104 5th Avenue Floor 9, New York, NY 10011-6901

CRD#: 16853

NEW YORK, NY

Past

May 18, 2017 - September 17, 2018

ICAPITAL SECURITIES, LLC

CRD#: 171061

NEW YORK, NY

Past

April 15, 2015 - May 10, 2017

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

August 23, 2013 - April 17, 2015

ALPS DISTRIBUTORS, INC.

CRD#: 16853

RYE BROOK, NY

Past

February 8, 2012 - August 6, 2013

DCM BROKERS, LLC

CRD#: 144158

CHICAGO, IL

Past

November 6, 2008 - January 6, 2012

KENMAR SECURITIES, L.P.

CRD#: 29375

NEW YORK, NY

Past

September 6, 2005 - November 9, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RED BANK, NJ

Past

September 6, 2005 - November 9, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 25, 2001 - September 7, 2005

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PRINCETON, NJ

Past

June 13, 2001 - September 7, 2005

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

November 2, 1995 - April 4, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alaska
(8/8/2024)

Arizona
(8/8/2024)

Arkansas
(8/8/2024)

California
(8/8/2024)

Colorado
(8/8/2024)

Connecticut
(5/10/2019)

Delaware
(3/20/2025)

District of Columbia
(5/10/2019)

Florida
(3/20/2025)

Hawaii
(8/8/2024)

Idaho
(8/8/2024)

Illinois
(3/20/2025)

Indiana
(3/20/2025)

Iowa
(8/8/2024)

Kansas
(8/8/2024)

Louisiana
(8/8/2024)

Maine
(5/10/2019)

Maryland
(5/10/2019)

Massachusetts
(5/10/2019)

Michigan
(8/8/2024)

Minnesota
(8/8/2024)

Mississippi
(8/8/2024)

Missouri
(8/8/2024)

Montana
(8/8/2024)

Nebraska
(8/8/2024)

Nevada
(8/8/2024)

New Hampshire
(5/10/2019)

New Jersey
(5/10/2019)

New Mexico
(8/8/2024)

New York
(5/10/2019)

North Carolina
(3/20/2025)

North Dakota
(8/8/2024)

Ohio
(3/20/2025)

Oklahoma
(8/8/2024)

Oregon
(8/8/2024)

Pennsylvania
(3/20/2025)

Rhode Island
(5/10/2019)

South Carolina
(3/20/2025)

South Dakota
(8/8/2024)

Texas
(7/20/2020)

Utah
(8/8/2024)

Vermont
(5/10/2019)

Virginia
(5/10/2019)

Washington
(8/8/2024)

West Virginia
(3/20/2025)

Wisconsin
(8/8/2024)

Wyoming
(8/8/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/26/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/12/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/1/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Karen A. Feeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

ICAPITAL SECURITIES, LLC

NYLIFE DISTRIBUTORS LLC

ALPS DISTRIBUTORS, INC.

DCM BROKERS, LLC

KENMAR SECURITIES, L.P.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2001

Series 63

Date: 9/7/1995

SIE

Date: 9/17/2018

Series 3

Date: 11/26/2008

Series 7

Date: 9/12/1997

Series 6

Date: 11/1/1995

Series 24

Date: 8/13/2009

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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