KW
Karen L. Wood
G.RESEARCH
Rye, NY 10580-1435
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CRD#: 2703519
KW
Professional summary
Karen Leslie Wood is a registered financial professional currently at G.RESEARCH, LLC located in Rye, New York.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1996. Karen has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Karen Leslie Wood'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®
NoneExperience
Current
February 1, 1996 - Present
G.RESEARCH, LLC
Office #1: One Corporate Center, Rye, NY 10580-1435BD
CRD#: 7353
Rye, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/21/2020)
RR
Alaska(12/21/2020)
RR
Arizona(12/21/2020)
RR
Arkansas(12/21/2020)
RR
California(12/21/2020)
RR
Colorado(7/8/2020)
RR
Connecticut(12/21/2020)
RR
Delaware(12/21/2020)
RR
District of Columbia(7/8/2020)
RR
Florida(7/8/2020)
RR
Georgia(12/21/2020)
RR
Hawaii(12/21/2020)
RR
Idaho(12/21/2020)
RR
Illinois(12/21/2020)
RR
Indiana(12/21/2020)
RR
Iowa(12/21/2020)
RR
Kansas(12/21/2020)
RR
Kentucky(12/21/2020)
RR
Louisiana(7/8/2020)
RR
Maine(12/21/2020)
RR
Maryland(7/8/2020)
RR
Massachusetts(12/21/2020)
RR
Michigan(12/21/2020)
RR
Minnesota(12/21/2020)
RR
Mississippi(12/21/2020)
RR
Missouri(12/21/2020)
RR
Montana(12/21/2020)
RR
Nebraska(12/21/2020)
RR
Nevada(12/21/2020)
RR
New Hampshire(12/21/2020)
RR
New Jersey(12/21/2020)
RR
New Mexico(12/21/2020)
RR
New York(12/21/2020)
RR
North Carolina(12/21/2020)
RR
North Dakota(12/21/2020)
RR
Ohio(7/8/2020)
RR
Oklahoma(12/21/2020)
RR
Oregon(12/21/2020)
RR
Pennsylvania(12/21/2020)
RR
Rhode Island(12/21/2020)
RR
South Carolina(12/21/2020)
RR
South Dakota(12/21/2020)
RR
Tennessee(12/21/2020)
RR
Texas(12/21/2020)
RR
Utah(12/21/2020)
RR
Vermont(12/21/2020)
RR
Virgin Islands(12/21/2020)
RR
Virginia(12/21/2020)
RR
Washington(12/21/2020)
RR
West Virginia(12/21/2020)
RR
Wisconsin(12/21/2020)
RR
Wyoming(12/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GL
G.RESEARCH, LLC
G.RESEARCH | GABELLI & COMPANY, INC. | G.RESEARCH, LLC | G.RESEARCH, INC.
CRD#: 7353 / SEC#: , 8-21373
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Corporate Center, Rye, NY 10580-1435
Mailing Address
One Corporate Center, Rye, NY 10580-1435
Phone number
(914) 921-7725
Established
Delaware since 06/30/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN GROUP HOLDING CO. | PARENT COMPANY/OWNER | |
| AMABILE, VINCENT M | PRESIDENT | 4356758 |
| FERNANDEZ, JOSEPH LOUIS | FINANCIAL AND OPERATIONS PRINCIPAL | 1968118 |
| GOLDMAN, DAVID MARC | ASSISTANT SECRETARY | 3191963 |
| GREENHAW, PAUL DANIEL | CHIEF COMPLIANCE OFFICER | 1820935 |
| MCGINITY, CORNELIUS VINCENT | OFFICE OF THE CHAIRMAN | 1706960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
