Karen R. Wawrzaszek
Professional summary
Karen R Wawrzaszek, CFP®, who also goes by Karen Renae Hotopf, Karen R Wawrzaszek Mrs, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Washington, District Of Columbia.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1999. Karen has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen R Wawrzaszek's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2009
Experience
December 19, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 800 Connecticut Avenue Nw Suite 200, Washington, DC 20006December 13, 2018 - April 13, 2021
SBSB FINANCIAL ADVISORS
January 14, 2010 - July 19, 2011
CITIGROUP GLOBAL MARKETS INC.
January 7, 2010 - July 19, 2011
CITIGROUP GLOBAL MARKETS INC.
August 27, 2008 - December 24, 2009
LNW
March 3, 2008 - June 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 3, 2008 - June 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 26, 2007 - March 4, 2008
UST SECURITIES CORP.
April 23, 2007 - October 26, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 19, 2006 - October 26, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 21, 1999 - June 23, 2000
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2024)
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Exams
Series 7TO
Date: 11/29/2023
General Securities Representative ExaminationFINRA
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | |
| BLOWERS, DAVID CHARLES | DIRECTOR | 4377133 |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| CHERRY, JON VINCENT | DIRECTOR | 4255568 |
| ELLIS, KATHERINE THERESE | DIRECTOR | 2519959 |
| GOFORTH, STEPHANIE ECKERT | DIRECTOR | 4348777 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | 5716365 |
| PICKETT, MELANIE ZAIRIS | DIRECTOR | 3256748 |
| THOMAS, SUNITHA CHERIAN | DIRECTOR | 7881171 |
| THORNTON, MITCHELL BLAIR | DIRECTOR | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory assets under management
| Total Number of Accounts | 2,283 |
| AUM (Assets Under Management) | $ 1,276,929,981 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 09/25/2024 | ||
| 08/23/2023 |
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.
