Karen H. Greenberg
Professional summary
Karen Hummers Greenberg, who also goes by Karen Diane Hummers, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1996. Karen has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Hummers Greenberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2016 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087December 8, 2014 - January 25, 2016
JANUS HENDERSON DISTRIBUTORS US LLC
October 22, 2012 - October 31, 2014
FORESIDE FUND SERVICES, LLC
June 2, 2010 - March 31, 2011
ATALANTA SOSNOFF CAPITAL, LLC
September 14, 2004 - March 9, 2010
MORGAN STANLEY DISTRIBUTION, INC.
September 30, 1998 - May 17, 2004
NORTHERN TRUST SECURITIES, INC.
January 23, 1998 - July 8, 1998
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
November 14, 1996 - July 8, 1998
MUTUAL OF AMERICA SECURITIES 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
(5/25/2016)
(5/26/2016)
(5/25/2016)
(9/14/2020)
(5/26/2016)
(5/26/2016)
(5/31/2016)
(7/27/2023)
(5/26/2016)
(6/10/2016)
(7/26/2023)
(5/27/2016)
(5/27/2016)
(5/31/2016)
(5/25/2016)
(6/23/2016)
(6/2/2016)
(5/26/2016)
(5/26/2016)
(5/25/2016)
(6/1/2016)
(5/25/2016)
(5/26/2016)
(6/3/2016)
(5/25/2016)
(5/25/2016)
(6/7/2016)
Exams
FINRA
Current Firm
HARTFORD FUNDS DISTRIBUTORS, LLC
CRD#: 45995 / SEC#: 801-53584, 8-51290
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| 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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