Karen M. Robertson
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 Michelle Robertson, who also goes by Karen Michelle Fraser, Karen Michelle Fugua, Karen Michelle Fuqua, Karen Fuqua, Karen Fraser Gomillion, Karen Michelle Gomillion, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2008. Karen had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2011 - May 3, 2012
BB&T INVESTMENT SERVICES, INC.
February 10, 2011 - May 3, 2012
BB&T INVESTMENT SERVICES, INC.
March 5, 2010 - December 31, 2010
WORLD GROUP SECURITIES, INC.
July 27, 2009 - September 21, 2009
LEVEL FOUR FINANCIAL, LLC
July 24, 2009 - September 21, 2009
LEVEL FOUR FINANCIAL, LLC
December 23, 2008 - June 16, 2009
EDWARD JONES
November 20, 2008 - June 16, 2009
EDWARD JONES
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
BB&T INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
Disclosures
| Regulatory Event | 2 |
| 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.
