Karen Y. Gonzales
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 Yvonne Gonzales, who also goes by Karen Yvonne Germadnik, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2000. Karen had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2017 - January 18, 2019
SWBC INVESTMENT SERVICES, LLC
February 22, 2016 - June 5, 2017
BBVA SECURITIES INC.
March 16, 2015 - September 25, 2015
CUSO FINANCIAL SERVICES, L.P.
April 15, 2014 - February 27, 2015
MML INVESTORS SERVICES, LLC
March 4, 2013 - February 7, 2014
INVESTMENT PROFESSIONALS, INC.
February 16, 2010 - February 25, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 30, 2001 - December 23, 2009
GUARANTY BROKERAGE SERVICES, INC.
January 20, 2000 - July 30, 2001
CAPITAL BROKERAGE CORPORATION
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
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
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.
