Karen E. Urie
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 Elizabeth Urie was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1974. Karen had worked at 10 firms and has passed the Series 66, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2009 - July 20, 2012
NEW ENGLAND SECURITIES
June 5, 2009 - July 20, 2012
NEW ENGLAND SECURITIES
April 24, 2008 - June 11, 2009
PRUCO SECURITIES, LLC.
April 11, 2008 - June 11, 2009
PRUCO SECURITIES, LLC.
September 12, 2006 - September 5, 2007
UBS FINANCIAL SERVICES INC.
March 17, 2006 - September 5, 2007
UBS FINANCIAL SERVICES INC.
January 16, 2006 - March 21, 2006
UBS SECURITIES LLC
November 12, 1992 - January 26, 2006
UBS FINANCIAL SERVICES INC.
October 7, 1988 - January 16, 2006
UBS FINANCIAL SERVICES INC.
September 21, 1987 - February 18, 1988
TUCKER ANTHONY INCORPORATED
October 29, 1979 - July 23, 1987
MOSELEY SECURITIES CORPORATION
July 16, 1979 - October 21, 1979
LEHMAN BROTHERS INC.
May 23, 1978 - July 16, 1979
LOEB PARTNERS
December 17, 1974 - April 29, 1977
NUVEEN SECURITIES, LLC
June 11, 1974 - December 29, 1974
CLAYTON BROWN & ASSOCIATES, INC.
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: 6/6/1974
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
