KK
Karen Kasteel-mettenbrink
CLARION PARTNERS SECURITIES
New York, NY 10010
Some features on this profile are disabled
CRD#: 4458695
KK
Professional summary
Karen Kasteel-mettenbrink is a registered financial professional currently at CLARION PARTNERS SECURITIES, LLC located in New York, New York and FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Karen is registered as a RR (Registered Representative) and started their career in finance in 2001. Karen has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Kasteel-mettenbrink'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
December 19, 2019 - Present
CLARION PARTNERS SECURITIES, LLC
Office #1: One Madison Avenue 14th Floor, New York, NY 10010Office #2: One Madison Avenue 14th Floor, New York, NY 10010BD
CRD#: 166384
New York, NY
Current
November 9, 2023 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010BD
CRD#: 109064
NEW YORK, NY
Past
April 12, 2002 - February 12, 2003
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
January 25, 2002 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 30, 2001 - December 31, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(1/15/2020)
RR
Alaska(1/15/2020)
RR
Arizona(1/15/2020)
RR
Arkansas(1/15/2020)
RR
California(1/15/2020)
RR
Colorado(1/15/2020)
RR
Connecticut(1/15/2020)
RR
Delaware(1/15/2020)
RR
District of Columbia(1/15/2020)
RR
Florida(1/15/2020)
RR
Georgia(1/15/2020)
RR
Hawaii(1/15/2020)
RR
Idaho(1/15/2020)
RR
Illinois(1/15/2020)
RR
Indiana(1/15/2020)
RR
Iowa(1/15/2020)
RR
Kansas(1/15/2020)
RR
Kentucky(1/15/2020)
RR
Louisiana(1/15/2020)
RR
Maine(1/15/2020)
RR
Maryland(1/15/2020)
RR
Massachusetts(1/15/2020)
RR
Michigan(1/15/2020)
RR
Minnesota(1/15/2020)
RR
Mississippi(1/15/2020)
RR
Missouri(1/15/2020)
RR
Montana(1/15/2020)
RR
Nebraska(1/15/2020)
RR
Nevada(1/15/2020)
RR
New Hampshire(1/15/2020)
RR
New Jersey(1/15/2020)
RR
New Mexico(1/15/2020)
RR
New York(1/15/2020)
RR
North Carolina(1/15/2020)
RR
North Dakota(1/15/2020)
RR
Ohio(1/15/2020)
RR
Oklahoma(1/15/2020)
RR
Oregon(1/15/2020)
RR
Pennsylvania(1/15/2020)
RR
Puerto Rico(11/9/2023)
RR
Rhode Island(1/15/2020)
RR
South Carolina(1/15/2020)
RR
South Dakota(1/15/2020)
RR
Tennessee(1/15/2020)
RR
Texas(1/15/2020)
RR
Utah(1/15/2020)
RR
Vermont(1/15/2020)
RR
Virginia(1/15/2020)
RR
Washington(1/15/2020)
RR
West Virginia(1/15/2020)
RR
Wisconsin(1/15/2020)
RR
Wyoming(1/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
