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KF

Karen L. Formby-hernandez

NATIONWIDE PLANNING ASSOCIATES
San Juan, PR 00918
Some features on this profile are disabled
CRD#: 4233632
KF

Professional summary

Karen Leen Formby-hernandez, who also goes by Karen Lee Formby, Karen Leen Formby, is a registered financial professional currently at NATIONWIDE PLANNING ASSOCIATES INC. located in San Juan, .

Karen is registered as a RR (Registered Representative) and started their career in finance in 2001. Karen has worked at 4 firms and has passed the SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Lee Formby | Karen Leen Formby

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Leen Formby-hernandez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 5, 2014 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 268 Muñoz Rivera Ave World Plaza Suite 803, San Juan, PR 00918
BD
CRD#: 31029
San Juan, PR
Past

September 3, 2013 - November 14, 2014

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SAN JUAN, PR
Past

December 1, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
SAN JUAN, PR
Past

May 29, 2001 - November 28, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Puerto Rico
(11/5/2014)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NP
NATIONWIDE PLANNING ASSOCIATES INC.
NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029 / SEC#: , 8-45310

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410
Mailing Address
32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410
Phone number
(201) 476-0029
Established
New Jersey since 10/26/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ABRAMENKO, PETERCO-CHAIRMAN OF THE BOARD1405677
DE POL, MICHAEL JOHNFOUNDER AND CHAIRMAN OF THE BOARD2087651
COLLEARY, JAMES SCHIEF COMPLIANCE OFFICER5844640
KARALEWICH, MICHAEL JCHIEF EXECUTIVE OFFICER/ROSFP/FINOP2910052

Disclosures

Regulatory Event3
Bond1

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.

Company Information

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029San Juan, PR 00918

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