Karen Balboa
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 Balboa, who also goes by Karen Joyce Balboa, Karen Joyce Monschein, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2001. Karen had worked at 9 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 2, 2019 - February 5, 2020
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.
June 26, 2019 - January 7, 2020
MADISON AVENUE SECURITIES, LLC
August 13, 2018 - September 11, 2018
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
June 29, 2016 - January 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2016 - January 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2009 - June 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2009 - June 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2006 - July 23, 2008
WAMU INVESTMENTS, INC.
September 7, 2006 - July 23, 2008
WAMU INVESTMENTS, INC.
June 14, 2006 - September 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2006 - September 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2004 - May 24, 2006
WAMU INVESTMENTS, INC.
January 28, 2004 - May 24, 2006
WAMU INVESTMENTS, INC.
November 14, 2001 - October 27, 2003
TRUIST INVESTMENT SERVICES, INC.
November 14, 2001 - October 27, 2003
TRUIST INVESTMENT SERVICES, INC.
May 25, 2001 - November 12, 2001
IDS LIFE INSURANCE COMPANY
May 25, 2001 - November 12, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.
CRD#: 286005 / SEC#: 801-110227
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.
CRD#: 286005 / SEC#: 801-110227
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,062 |
| AUM (Assets Under Management) | $ 529,098,628 |
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.
