Karen B. Shea
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 Bius Shea, who also goes by Karen B Turns, Karen Bius Turns, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1982. Karen had worked at 16 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2007 - June 18, 2013
LPL FINANCIAL LLC
February 20, 2007 - June 18, 2013
LPL FINANCIAL LLC
January 8, 2004 - February 21, 2007
KESTRA INVESTMENT SERVICES, LLC
December 2, 2003 - February 21, 2007
KESTRA INVESTMENT SERVICES, LLC
March 6, 2003 - December 3, 2003
VERAVEST INVESTMENTS, INC.
September 11, 1997 - March 13, 2003
CITIGROUP GLOBAL MARKETS INC.
January 21, 1997 - September 23, 1997
CITISTREET EQUITIES LLC
June 21, 1996 - January 20, 1997
SPELMAN & CO., INC.
December 14, 1995 - June 27, 1996
AMERISTAR CAPITAL MARKETS, INC.
September 16, 1991 - August 16, 1995
ICBA SECURITIES
July 23, 1991 - August 16, 1995
VINING-SPARKS IBG, LLC
June 23, 1987 - January 30, 1991
FIRST FUNDS, INC.
May 21, 1987 - June 18, 1987
REFCO SECURITIES, LLC
October 15, 1985 - February 17, 1987
VINING-SPARKS SECURITIES, INC.
September 20, 1984 - October 14, 1985
MORGAN KEEGAN & COMPANY, LLC
March 7, 1984 - September 7, 1984
ACI SECURITIES,INC.
September 27, 1983 - February 10, 1984
LEHMAN BROTHERS INC.
September 28, 1982 - September 15, 1983
FINANCIAL SQUARE PARTNERS
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 1
Date: 11/30/1973
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
