Sara C. Karam
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.
Sara Catherine Karam was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2004. Sara had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2011 - December 31, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
June 2, 2006 - November 19, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 27, 2005 - June 6, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 27, 2005 - June 6, 2006
OSAIC FA, INC.
September 24, 2004 - September 2, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 28, 2004 - August 24, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 28, 2004 - August 24, 2004
OSAIC FA, 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
Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
