Kari D. Desai
Professional summary
Kari Dawn Desai, who also goes by Kari Dawn Desai, Kari Dawn Welch, is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.
Kari is registered as a RR (Registered Representative) and started their career in finance in 2000. Kari has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kari Dawn Desai's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2023 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601November 15, 2018 - July 26, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 3, 2015 - May 30, 2018
NYLIFE DISTRIBUTORS LLC
December 2, 2013 - September 3, 2015
NYLIFE SECURITIES LLC
February 20, 2012 - November 25, 2013
NYLIFE DISTRIBUTORS LLC
January 2, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
September 5, 2000 - December 5, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2023)
Exams
FINRA
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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