Karen S. Buxton
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 Sue Buxton, who also goes by Karen Sue Bailey, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1999. Karen had worked at 8 firms and has passed the Series 66 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
May 18, 2015 - December 31, 2018
WATERMARK ASSET MANAGEMENT, INC.
January 3, 2012 - February 10, 2014
SCHWAB WEALTH ADVISORY, INC.
January 14, 2009 - December 31, 2011
CHARLES SCHWAB & CO., INC.
November 5, 2008 - February 10, 2014
CHARLES SCHWAB & CO., INC.
November 25, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 25, 2003 - October 3, 2008
MSI FINANCIAL SERVICES, INC.
August 7, 2002 - December 31, 2003
GENEOS WEALTH MANAGEMENT, INC.
June 16, 1999 - August 5, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 16, 1999 - August 5, 2002
OSAIC FA, INC.
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
WATERMARK ASSET MANAGEMENT, INC.
CRD#: 108407 / SEC#: 801-57796
Contact information
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.
