Karen Lewis
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 Lewis, who also goes by Karen Glazer, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2007. Karen had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 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
April 24, 2019 - July 1, 2024
GEORGESON SECURITIES CORPORATION
April 25, 2007 - July 18, 2017
GEORGESON SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GEORGESON SECURITIES CORPORATION
CRD#: 46749 / SEC#: , 8-51538
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEORGESON LLC | 100% OWNER | |
| CHASSE, JEFFREY GEORGE | ASSISTANT TREASURER | 6383899 |
| CLEMONS, GREGORY JOE | ASSISTANT TREASURER | 7162929 |
| FRIERSON, SHEILA | BOARD DIRECTOR | 7463457 |
| FROMBERG, ROBERT MARC | SECRETARY | 6034320 |
| GRUBER, CATHERINE | ASSISTANT TREASURER | 7658317 |
| MOCOGNI, SHAWNA LEIGH | ASSISTANT TREASURER | 7164315 |
| NISLEY, CYNTHIA BLOUNT | PRESIDENT/DIRECTOR | 5369413 |
| PARK, JIN SOO | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINANCIAL AND OPERATIONS PRINCIPAL | 4836106 |
| TSOUNAKIS, IAKOVOS | CHIEF COMPLIANCE OFFICER | 3259778 |
Disclosures
| Regulatory Event | 5 |
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.
