Karen E. Beech
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 E Beech, who also goes by Karen Elizabeth Beech, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1999. Karen had worked at 17 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7, Series 6 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
November 9, 2018 - May 1, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
November 9, 2018 - May 1, 2019
T. ROWE PRICE INVESTMENT SERVICES, INC.
August 21, 2018 - October 17, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 21, 2018 - October 17, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 21, 2015 - August 21, 2018
EAGLE STRATEGIES LLC
October 17, 2014 - August 21, 2018
NYLIFE SECURITIES LLC
April 14, 2011 - January 21, 2014
FOUNDERS FINANCIAL SECURITIES LLC
April 14, 2011 - January 21, 2014
FOUNDERS FINANCIAL SECURITIES LLC
March 14, 2011 - April 26, 2011
HORNOR, TOWNSEND & KENT, LLC
December 17, 2010 - April 26, 2011
HORNOR, TOWNSEND & KENT, LLC
January 8, 2009 - December 7, 2010
SECURIAN FINANCIAL SERVICES, INC.
September 30, 2008 - January 6, 2009
BDR RESEARCH GROUP LLC
September 30, 2008 - January 6, 2009
BDR RESEARCH LLC
May 24, 2007 - September 26, 2008
THE RIDERWOOD GROUP INCORPORATED
January 9, 2006 - April 18, 2007
FIDUCIAL INVESTMENT ADVISORS, INC.
June 24, 2005 - April 18, 2007
FIDUCIAL INVESTMENT ADVISORS, INC.
December 3, 2004 - January 14, 2005
THE L. WARNER COMPANIES, INC
May 8, 2003 - January 18, 2005
MUTUAL SERVICE CORPORATION
August 16, 2002 - September 6, 2002
ESSEX NATIONAL SECURITIES, LLC
October 31, 2001 - August 1, 2002
ALLFIRST BROKERAGE CORPORATION
March 22, 2000 - March 14, 2001
CHARLES SCHWAB & CO., INC.
July 28, 1999 - February 14, 2000
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
