Karrie R. Parrett
Professional summary
Karrie Renee Parrett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Karrie is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Karrie had worked at 4 firms, which includes INVEST FINANCIAL CORPORATION, CONCOURSE FINANCIAL GROUP SECURITIES INC., WESTMINSTER FINANCIAL SECURITIES INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2007 - October 31, 2014
INVEST FINANCIAL CORPORATION
December 13, 2007 - October 31, 2014
INVEST FINANCIAL CORPORATION
January 27, 2006 - December 14, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 23, 2006 - December 14, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 6, 2003 - January 19, 2006
WESTMINSTER FINANCIAL SECURITIES, INC.
May 28, 1999 - February 26, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
Red Flags
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