KF
Karen L. Flaherty
BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 4976225
KF
Professional summary
Karen Laakmann Flaherty, who also goes by Karen L Flaherty, Karen Laakmann Flaherty, Karen Flaherty, Karen Laakmann, is a registered financial professional currently at BTIG, LLC located in New York, New York.
Karen is registered as a RR (Registered Representative) and started their career in finance in 2008. Karen has worked at 5 firms and has passed the Series 63, Series 52TO, Series 82TO, Series 22TO, Series 6TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 39, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen L Flaherty | Karen Laakmann Flaherty | Karen Flaherty | Karen Laakmann
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.
CRS (Client Relationship Summary) - BD
Click below to view Karen Laakmann Flaherty's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 28, 2025 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022BD
CRD#: 122225
New York, NY
Past
August 5, 2021 - April 2, 2025
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
November 25, 2019 - June 2, 2021
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 12, 2018 - November 8, 2019
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
November 26, 2008 - August 28, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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
Alabama(4/28/2025)
RR
Alaska(4/28/2025)
RR
Arizona(4/28/2025)
RR
Arkansas(4/28/2025)
RR
California(4/28/2025)
RR
Colorado(4/28/2025)
RR
Connecticut(4/28/2025)
RR
Delaware(5/12/2025)
RR
District of Columbia(4/28/2025)
RR
Florida(4/28/2025)
RR
Georgia(4/28/2025)
RR
Hawaii(5/6/2025)
RR
Idaho(4/28/2025)
RR
Illinois(4/28/2025)
RR
Indiana(4/28/2025)
RR
Iowa(4/28/2025)
RR
Kansas(4/28/2025)
RR
Kentucky(4/28/2025)
RR
Louisiana(4/28/2025)
RR
Maine(4/28/2025)
RR
Maryland(4/28/2025)
RR
Massachusetts(4/28/2025)
RR
Michigan(4/28/2025)
RR
Minnesota(4/29/2025)
RR
Mississippi(4/28/2025)
RR
Missouri(4/28/2025)
RR
Montana(4/28/2025)
RR
Nebraska(4/28/2025)
RR
Nevada(4/28/2025)
RR
New Hampshire(4/28/2025)
RR
New Jersey(4/28/2025)
RR
New Mexico(4/28/2025)
RR
New York(4/28/2025)
RR
North Carolina(4/28/2025)
RR
North Dakota(4/28/2025)
RR
Ohio(4/28/2025)
RR
Oklahoma(4/28/2025)
RR
Oregon(4/28/2025)
RR
Pennsylvania(4/28/2025)
RR
Rhode Island(4/28/2025)
RR
South Carolina(4/28/2025)
RR
South Dakota(4/30/2025)
RR
Texas(4/28/2025)
RR
Utah(4/28/2025)
RR
Vermont(4/28/2025)
RR
Virgin Islands(4/28/2025)
RR
Virginia(4/28/2025)
RR
Washington(4/28/2025)
RR
West Virginia(4/28/2025)
RR
Wisconsin(4/28/2025)
RR
Wyoming(4/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 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.
