KK
Karen Kang
T.R. WINSTON & COMPANY
Pasadena, CA 91105
Some features on this profile are disabled
CRD#: 4367718
KK
Professional summary
Karen Kang, who also goes by Karen Kang Ting, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen Kang Ting
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.
CRS (Client Relationship Summary) - BD
Click below to view Karen Kang's 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®
NoneExperience
Current
June 12, 2002 - Present
T.R. WINSTON & COMPANY, LLC
Office #1: 45 S. Arroyo Pkwy, Pasadena, CA 91105Office #2: 7 Wtc 250 Greenwich Street Suite 4612, New York, NY, 10007BD
CRD#: 10571
Pasadena, CA
Past
March 22, 2010 - March 12, 2015
TRW CAPITAL MANAGEMENT, LLC
RIA
CRD#: 151082
LOS ANGELES, CA
Past
March 11, 2002 - June 5, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
January 30, 2002 - February 12, 2002
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
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
Alabama(12/8/2023)
RR
Alaska(1/4/2021)
RR
Arkansas(1/4/2021)
RR
California(6/12/2002)
RR
Florida(7/29/2002)
RR
Georgia(11/25/2022)
RR
Illinois(7/29/2002)
RR
Indiana(1/4/2021)
RR
Kansas(11/25/2022)
RR
Maine(1/4/2021)
RR
Massachusetts(7/29/2002)
RR
Mississippi(1/4/2021)
RR
Montana(8/9/2013)
RR
Nevada(7/29/2002)
RR
New Hampshire(1/4/2021)
RR
New Jersey(7/29/2002)
RR
New York(7/29/2002)
RR
North Carolina(1/3/2012)
RR
North Dakota(1/4/2021)
RR
Oklahoma(1/4/2021)
RR
Rhode Island(1/4/2021)
RR
South Carolina(2/25/2014)
RR
South Dakota(1/4/2021)
RR
Texas(7/29/2002)
RR
Utah(7/29/2002)
RR
Vermont(1/4/2021)
RR
Virginia(11/25/2022)
RR
West Virginia(1/4/2021)
RR
Wisconsin(7/29/2002)
RR
Wyoming(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TW
T.R. WINSTON & COMPANY, LLC
T.R. WINSTON & COMPANY, INC. | T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
376 Main Street, Bedminster, NJ 07921-2613
Mailing Address
P.o. Box 74 376 Main Street, Bedminster, NJ 07921
Phone number
(908) 234-0300
Established
Delaware since 08/18/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 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, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
