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KW

Karen L. Wood

REALTA EQUITIES
Prescott, AZ 86305
Some features on this profile are disabled
CRD#: 6640893
KW

Professional summary

Karen Lynn Wood, who also goes by Karen Lynn Robinson, Karen L. Wood, Karen Lynn Wood, Karen Wood, is a registered financial professional currently at REALTA EQUITIES, INC. located in Prescott, Arizona.

Karen is registered as a RR (Registered Representative) and started their career in finance in 2016. Karen has worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Lynn Robinson | Karen L. Wood | Karen Lynn Wood | Karen Wood

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 Karen Lynn Wood'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

January 19, 2024 - Present

REALTA EQUITIES, INC.

Office #1: 3181 Clearwater Drive Suite A, Prescott, AZ 86305
BD
CRD#: 23769
Prescott, AZ
Past

March 2, 2022 - December 1, 2023

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
PRESCOTT, AZ
Past

January 1, 2020 - May 28, 2020

BBVA SECURITIES INC.

BD
CRD#: 27060
PRESCOTT, AZ
Past

June 8, 2016 - May 16, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PRESCOTT, AZ

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
Arizona
(1/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/17/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/27/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/7/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

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

Main Address
1201 N. Orange Street Suite 300, Wilmington, DE 92130
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures

Regulatory Event7

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

REALTA EQUITIES, INC.

CRD#: 23769Prescott, AZ 86305

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