Karen Ann Ferguson-moran
Professional Summary
Karen Ann Ferguson-moran is a registered financial advisor currently at MONNESS CRESPI HARDT & CO., INC. located in New York, New York. Karen is registered as a RR (Registered Representative) and started their career in finance in 2003. Karen has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
MONNESS CRESPI HARDT & CO., INC. | MONNESS, WILLIAMS, CRESPI & CO., INC.
Contact Information
Main Address
780 Third Avenue 24th Fl, New York, NY 10017-2047Mailing Address
780 Third Avenue 24th Fl, New York, NY 10017-2047Phone Number
(212) 838-7575Established
New York since 11/01/1996Firm Type
Other Types of Legal FormationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (14 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/16/2019)
(8/9/2019)
(5/23/2025)
(8/11/2022)
(5/5/2022)
(6/29/2010)
(8/6/2025)
(7/21/2009)
(7/21/2009)
(10/28/2019)
(9/11/2003)
(1/4/2010)
(5/31/2022)
(7/21/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Karen Ann Ferguson-moran's CRS (Customer Relationship Summary).
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