Karen B. Perry
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 Barnett Perry, who also goes by Karen Marion Barnett, Karen Marion Barnettperry, Karen Marion Barnett, Karen Barnett Dalton, Karen Barnett Perry, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1998. Karen had worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 28, Series 53, Series 27 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
May 6, 2016 - August 1, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 28, 2016 - April 25, 2016
SUMMIT BROKERAGE SERVICES, INC.
July 29, 2015 - April 25, 2016
CETERA INVESTMENT SERVICES LLC
July 29, 2015 - April 25, 2016
CETERA FINANCIAL SPECIALISTS LLC
July 29, 2015 - April 25, 2016
CETERA ADVISORS LLC
July 29, 2015 - April 25, 2016
CETERA WEALTH SERVICES, LLC
February 24, 2014 - June 23, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2009 - August 17, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 23, 2005 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 3, 2000 - August 11, 2005
INTERLINK SECURITIES CORP.
May 21, 1998 - May 10, 2000
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
