Karen P. Halliday
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. Halliday, who also goes by Karen Halliday, Karen P Halliday, Karen Patricia Halliday, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1996. Karen had worked at 7 firms and has passed the Series 63, Series 6, SIE, Series 62, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2025 - May 4, 2026
CARILLON FUND DISTRIBUTORS, INC.
February 15, 2019 - September 24, 2024
RONDOUT PARTNERS, LLC
September 28, 2018 - April 26, 2019
THE LEADERS GROUP, INC.
September 30, 2009 - July 23, 2012
HADLEY PARTNERS, INCORPORATED
November 25, 2003 - October 15, 2007
GE CAPITAL MARKETS, INC.
June 7, 1999 - July 15, 2002
DEUTSCHE BANK SECURITIES INC.
June 28, 1996 - June 7, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 9/28/2018
Corporate Securities Limited Representative ExaminationCurrent Firm
CARILLON FUND DISTRIBUTORS, INC.
CRD#: 139749 / SEC#: , 8-67244
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EAGLE ASSET MANAGEMENT INC | PARENT COMPANY | 110653 |
| EDWARDS, CHARLES MICHAEL | DIRECTOR | 5342028 |
| GEORGIEV, TSVETELINA ELKOVA | CCO | 5130225 |
| GERVAIS, BRYAN L | CFO, PRINCIPAL FINANCIAL OFFICER / FINOP, DIRECTOR | 5286391 |
| LILLIAN, JORDAN ALEXANDER | CEO, PRESIDENT, DIRECTOR | 5444726 |
| SOUSA, DAMIAN DANIEL | DIRECTOR | 2061882 |
| WALZER, SUSAN LAVELLE | DIRECTOR | 2976646 |
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.
