KH
Kare E. Hanks
USAA INVESTMENT SERVICES COMPANY
Phoenix, AZ 85085
Some features on this profile are disabled
CRD#: 2883762
KH
Professional summary
Kare Elizabeth Hanks, who also goes by Karen Elizabeth Grout, Karen Elizabeth Hanks, is a registered financial professional currently at USAA INVESTMENT SERVICES COMPANY located in Phoenix, Arizona.
Kare is registered as a RR (Registered Representative) and started their career in finance in 1997. Kare has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen Elizabeth Grout | Karen Elizabeth Hanks
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 Kare Elizabeth Hanks'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
September 13, 2016 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Past
January 8, 2018 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
PHOENIX, AZ
Past
August 26, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
August 9, 2013 - July 10, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
February 14, 2007 - July 16, 2013
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
October 27, 1997 - July 16, 2013
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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
Arizona(8/7/2020)
RR
Oregon(12/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
