Karen Y. Kwan
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 Y Kwan, who also goes by Karen Kwan, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2006. Karen had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2022 - April 6, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 15, 2022 - April 6, 2023
FIDELITY BROKERAGE SERVICES LLC
August 16, 2021 - July 8, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
December 16, 2016 - July 8, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 14, 2006 - August 2, 2016
PROTECTED INVESTORS OF AMERICA
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
