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KM

Karen E. Murry

Some features on this profile are disabled
CRD#: 4664659
KM

Professional summary

Karen Elizabeth Murry, who also goes by Karen Elizabeth Gareis, Karen Elizabeth Hoplock, was a registered financial professional .

Karen is registered as a RR (Registered Representative) and started their career in finance in 2003. Karen had worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Elizabeth Gareis | Karen Elizabeth Hoplock

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 13, 2005 - September 21, 2009

FORTIS SECURITIES LLC

BD
CRD#: 103714
NEW YORK, NY
Past

June 19, 2003 - June 6, 2005

PORTIGON SECURITIES INC.

BD
CRD#: 10050
NEW YORK, 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
New Jersey
(9/29/2009)
RR
New York
(9/29/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORTIS SECURITIES LLC
ALPHA INTERNATIONAL SECURITIES, L.L.C. | FORTIS SECURITIES LLC | FORTIS INVESTMENT SERVICES LLC

CRD#: 103714 / SEC#: , 8-52232

BD
Terminated by SEC on 04/11/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/21/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FSI HOLDINGS INC.DIRECT OWNER
CLYNE, THOMAS GERARD JRCFO1214606
SOBIN, LARRY BRIANPRESIDENT/ CEO/ COO1616415
STROMBELLINE, STEPHEN CHARLESCHIEF COMPLIANCE OFFICER2692936

Disclosures

Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FORTIS SECURITIES LLC

CRD#: 103714

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