Karen Kang
Professional Summary
Karen Kang, who also goes by Karen Kang Ting, is a registered financial advisor currently at T.R. WINSTON & COMPANY, LLC located in Pasadena, California. Karen is registered as a RR (Registered Representative) and started their career in finance in 2002. Karen has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Karen Kang Ting
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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MORGAN STANLEY
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Current Firm
T.R. WINSTON & COMPANY, INC. | T.R. WINSTON & COMPANY, LLC
Contact Information
Main Address
376 Main Street, Bedminster, NJ 07921-2613Mailing Address
P.o. Box 74 376 Main Street, Bedminster, NJ 07921Phone Number
(908) 234-0300Established
Delaware since 08/18/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER | 2121440 |
| DUMONT, SUSAN ELIZABETH | CCO | 2346501 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
Disclosures
Regulatory Event
5Arbitration
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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.
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MORGAN STANLEY
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State Registrations and Notice Filings
(12/8/2023)
(1/4/2021)
(1/4/2021)
(6/12/2002)
(7/29/2002)
(11/25/2022)
(7/29/2002)
(1/4/2021)
(11/25/2022)
(1/4/2021)
(7/29/2002)
(1/4/2021)
(8/9/2013)
(7/29/2002)
(1/4/2021)
(7/29/2002)
(7/29/2002)
(1/3/2012)
(1/4/2021)
(1/4/2021)
(1/4/2021)
(2/25/2014)
(1/4/2021)
(7/29/2002)
(7/29/2002)
(1/4/2021)
(11/25/2022)
(1/4/2021)
(7/29/2002)
(1/4/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Karen Kang's CRS (Customer Relationship Summary).
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