KD
Karen R. Darby
JACOBI CAPITAL MANAGEMENT
Pittston, PA 18640
Some features on this profile are disabled
CRD#: 6071432
KD
Professional summary
Karen R Darby, who also goes by Karen Robin Darby, Karen R Lugiano, Karen Robin Lugiano, is a registered financial advisor currently at JACOBI CAPITAL MANAGEMENT, LLC located in Pittston, Pennsylvania and LPL FINANCIAL LLC located in Pittston, Pennsylvania.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Karen has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Robin Darby | Karen R Lugiano | Karen Robin Lugiano
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.
1. 1/12/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 04/04/2021 - 68 Hours Per Month During Securities Trading - Time Spent 40% - Selling whole life, term life, universal life, LTC, disability, fixed annuities, group life. 2. 1/14/2021 - Jacobi Capital Management, LLC - DBA: (Hybrid) Jacobi Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 01/04/2021 - 85 Hours Per Month/85 Hours During Securities Trading - Time Spent 50%. 3. 1/14/2021 - Jacobi Capital Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 01/04/2021 - 85 Hours Per Month/88 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Jacobi Capital Management, LLC, an independent investment advisor firm. I started this business activity in 01/2021. I expect to spend approximately 85 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 4/15/2021 - MassMutual Eastern Pennsylvania - Investment Related - 220 Gibraltar Rd Suite 350, Horsham, PA 19044 - Non-Variable Insurance - Started 04/08/2021 - 20 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Karen R Darby'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
January 13, 2021 - Present
JACOBI CAPITAL MANAGEMENT, LLC
Office #1: 154 Enterprise Way, Pittston, PA 18640RIA
CRD#: 147663
Pittston, PA
Current
January 12, 2021 - Present
LPL FINANCIAL LLC
Office #1: 154 Enterprise Way, Pittston, PA 18640RIA
BD
CRD#: 6413
Pittston, PA
Past
January 27, 2017 - December 23, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
KINGSTON, PA
Past
December 1, 2015 - December 23, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
KINGSTON, PA
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".
JC
JACOBI CAPITAL MANAGEMENT, LLC
JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS
CRD#: 147663 / SEC#: 801-69398
RIA
Registered Investment Advisory firm - (8/7/2008 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.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
Pennsylvania(1/12/2021)
IAR
Pennsylvania(1/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JC
JACOBI CAPITAL MANAGEMENT, LLC
JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS
CRD#: 147663 / SEC#: 801-69398
RIA
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Contact information
Main Address
154 Enterprise Way, Pittston, PA 18640
Mailing Address
Phone number
(570) 826-1801
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,314 |
| AUM (Assets Under Management) | $ 2,190,387,155 |
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.
