Karen L. Reeves
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 L Reeves, who also goes by Karen Lynn Gurzi, Karen Lynn Reeves, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1979. Karen had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - November 16, 2020
KESTRA ADVISORY SERVICES, LLC
September 17, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
December 16, 2009 - November 16, 2020
KESTRA INVESTMENT SERVICES, LLC
January 15, 2008 - February 25, 2008
CHARLES SCHWAB & CO., INC.
September 23, 1999 - December 7, 2007
CYBERTRADER, INC.
July 21, 1999 - September 30, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
November 20, 1998 - May 26, 1999
LUTHERAN BROTHERHOOD SECURITIES CORP.
June 20, 1994 - April 9, 1998
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
January 23, 1992 - July 5, 1994
TORREY PINES SECURITIES, INC.
June 17, 1991 - January 10, 1992
INCOME GROWTH CAPITAL, INC.
September 2, 1988 - June 7, 1989
TRANSAMERICA CAPITAL, LLC
July 18, 1986 - June 1, 1988
SOUTHMARK CAPITAL RESOURCE
July 30, 1984 - April 1, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 27, 1983 - June 22, 1984
UBS FINANCIAL SERVICES INC.
January 24, 1983 - October 13, 1983
PRUDENTIAL EQUITY GROUP, LLC
December 26, 1979 - February 10, 1983
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
