Karen A. Sharp
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 Anne Sharp, who also goes by Karen Anne Braasch, Karen Anne Braasch-heil, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2000. Karen had worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 51 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
September 27, 2013 - May 31, 2024
MARATHON CAPITAL MARKETS, LLC
January 2, 2009 - June 15, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 20, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 20, 2005 - June 15, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2000 - January 10, 2005
FIRST BUSEY SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MARATHON CAPITAL MARKETS, LLC
CRD#: 103767 / SEC#: , 8-52256
Contact information
FINRA licenses (35 States and Territories)
Documents
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.
