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KT

Karen L. Taylor

Some features on this profile are disabled
CRD#: 4274474
KT

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 Lee Taylor, who also goes by Karen Lee Wadkins, Karen Lee Williams, 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 66, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 51 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Lee Wadkins | Karen Lee Williams

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 27, 2019 - February 4, 2021

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
Greensboro, NC
Past

November 27, 2019 - January 19, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
GREENSBORO, NC
Past

August 28, 2018 - December 2, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
GREENSBORO, NC
Past

August 28, 2018 - December 2, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
GREENSBORO, NC
Past

October 26, 2017 - August 24, 2018

M HOLDINGS SECURITIES, INC.

RIA
CRD#: 43285
GREENSBORO, NC
Past

October 26, 2017 - August 24, 2018

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
GREENSBORO, NC
Past

January 6, 2014 - September 5, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
GREENSBORO, NC
Past

December 4, 2013 - September 5, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
GREENSBORO, NC
Past

November 28, 2011 - September 26, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
GREENSBORO, NC
Past

November 22, 2011 - September 26, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
GREENSBORO, NC
Past

January 1, 2002 - December 21, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CANONSBURG, PA
Past

November 29, 2000 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 29, 2000 - December 21, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CANONSBURG, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/12/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/18/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/18/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/18/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/18/2024
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/18/2024
Municipal Securities Principal Examination

Current Firm

SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information

Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL GROUP WRAP FEE PROGRAM BROCHURE (3/30/2021)
SUMMIT FINANCIAL GROUP FIRM BROCHURE (3/30/2021)

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

SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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