Karen L. Probes
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 Louise Probes, who also goes by Lou Probes, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2001. Karen had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2020 - February 10, 2021
ASCENDANT ALTERNATIVE STRATEGIES, LLC
February 27, 2015 - November 19, 2018
COWEN AND COMPANY
October 21, 2013 - February 3, 2014
AXIOM CAPITAL MANAGEMENT, INC.
June 24, 2011 - October 21, 2011
PETERSEN INVESTMENTS, INC.
May 19, 2008 - July 21, 2009
DEUTSCHE BANK SECURITIES INC.
September 27, 2002 - July 24, 2006
CITIGROUP GLOBAL MARKETS INC.
May 9, 2001 - November 15, 2001
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASCENDANT ALTERNATIVE STRATEGIES, LLC
CRD#: 283881 / SEC#: , 8-69769
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
