Karen J. Janssen
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 Jean Janssen, who also goes by Karen Jean Goeden, Karen Jean Lee, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2006. Karen had worked at 13 firms and has passed the Series 63, SIE, Series 99, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2018 - June 24, 2019
SUMMIT BROKERAGE SERVICES, INC.
January 22, 2018 - June 24, 2019
FIRST ALLIED SECURITIES, INC.
January 22, 2018 - June 24, 2019
CETERA INVESTMENT SERVICES LLC
January 22, 2018 - June 24, 2019
CETERA FINANCIAL SPECIALISTS LLC
January 22, 2018 - June 24, 2019
CETERA ADVISORS LLC
January 22, 2018 - June 24, 2019
CETERA WEALTH SERVICES, LLC
September 15, 2011 - May 3, 2013
SLD AMERICA EQUITIES, INC.
September 15, 2011 - May 3, 2013
DIRECTED SERVICES LLC
October 20, 2010 - May 3, 2013
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
October 20, 2010 - May 3, 2013
VOYA RETIREMENT ADVISORS, LLC
October 20, 2010 - May 3, 2013
VOYA FINANCIAL PARTNERS, LLC
September 13, 2007 - December 31, 2009
CETERA ADVISORS LLC
September 13, 2007 - December 31, 2009
CETERA WEALTH SERVICES, LLC
February 7, 2007 - May 3, 2013
VOYA FINANCIAL ADVISORS, INC.
March 1, 2006 - November 30, 2006
NATIONWIDE SECURITIES, LLC
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
