Karen V. Vergara

STRATEGIC ADVISERS LLC

CARROLLTON, TX

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CRD#: 5577886

Professional summary

Karen Viviana Vergara, who also goes by Karen VIviana Vergara, Karen Viviana Vergata, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Carrollton, Texas and FIDELITY BROKERAGE SERVICES LLC located in Dallas, Texas.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Karen has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Viviana Vergara | Karen Viviana Vergata

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Viviana Vergara'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 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 4001 Northwest Pkwy, Dallas, TX 75225-3301

RIA

CRD#: 104555

CARROLLTON, TX

Current

May 26, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 4001 Northwest Parkway, Dallas, TX 75225

CRD#: 7784

Dallas, TX

Past

July 3, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

DALLAS, TX

Past

March 6, 2019 - May 5, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Pasadena, CA

Past

March 4, 2019 - May 5, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Pasadena, CA

Past

February 27, 2018 - January 14, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

SUGARLAND, TX

Past

February 26, 2018 - January 14, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

February 26, 2018 - January 14, 2019

TD AMERITRADE, INC.

CRD#: 7870

SUGARLAND, TX

Past

June 27, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

July 17, 2014 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

HOUSTON, TX

Past

January 1, 2014 - July 7, 2014

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

DALLAS, TX

Past

December 24, 2013 - July 7, 2014

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

March 5, 2010 - December 6, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

March 5, 2010 - December 6, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

September 1, 2008 - December 6, 2013

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Massachusetts
(6/9/2022)

Texas
(5/26/2022)

IAR

Texas
(3/31/2025)

Utah
(6/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/1/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/5/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/21/2019

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/14/2019

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2014

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Karen V. Vergara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Viviana Vergara's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2010

Series 63

Date: 9/5/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2008

Series 10

Date: 6/21/2019

Series 9

Date: 3/14/2019

Series 24

Date: 3/24/2014

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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