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KG

Karren C. Gorney

CAPFINANCIAL SECURITIES.
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 5300336
KG

Professional summary

Karren Ciereck Gorney, who also goes by Karren Lorraine Ciereck, Karren C Gorney, Karren Lorraine Norman, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina.

Karren is registered as a RR (Registered Representative) and started their career in finance in 2007. Karren has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karren Lorraine Ciereck | Karren C Gorney | Karren Lorraine Norman

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) - BD

Click below to view Karren Ciereck Gorney's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 1, 2019 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 4208 Six Forks Road #1700, Raleigh, NC 27609
BD
CRD#: 126291
Raleigh, NC
Past

May 24, 2011 - October 19, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
DURHAM, NC
Past

August 31, 2007 - November 12, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
DURHAM, NC
Past

March 22, 2007 - July 19, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
MORRISVILLE, NC

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
North Carolina
(3/4/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/4/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/21/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC

CRD#: 126291 / SEC#: , 8-65870

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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.

Company Information

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291Raleigh, NC 27609

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