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KP

Karen E. Purdie

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CRD#: 703751
KP

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 Elizabeth Purdie was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1986. Karen had worked at 15 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 6, 2013 - July 1, 2013

PENSERRA SECURITIES, LLC

BD
CRD#: 145994
NEWPORT BEACH, CA
Past

April 22, 2011 - September 6, 2011

KAUFMAN BROS., L.P.

BD
CRD#: 37909
NEW YORK, NY
Past

January 29, 2008 - June 24, 2008

ZEALOUS CAPITAL MARKETS, LLC.

BD
CRD#: 136412
TUSTIN, CA
Past

December 20, 2006 - October 19, 2007

NYPPEX, LLC

BD
CRD#: 47654
LANSING, MI
Past

May 3, 2006 - September 25, 2006

UNITED CAPITAL MARKETS, INC.

BD
CRD#: 40980
MIAMI, FL
Past

May 4, 2005 - November 30, 2005

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

November 9, 2004 - March 8, 2005

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

June 11, 2004 - July 28, 2004

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

December 1, 2001 - July 3, 2002

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

July 17, 2001 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

January 1, 1998 - March 6, 1998

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

June 24, 1991 - July 13, 1994

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD
Past

November 21, 1988 - February 2, 1990

MIDLAND MONTAGU SECURITIES INC.

BD
CRD#: 18166
Past

October 31, 1986 - September 20, 1988

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
Past

April 7, 1986 - October 14, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2011
General Securities Representative Examination

Current Firm

PS
PENSERRA SECURITIES, LLC
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Phone number
(646) 459-0581
Established
New York since 02/27/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES LLCHOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMNCOO4409925
GEIGER, LEE WILSONFINOP1552293
JOSEPH, ELOIS L'KEKSHACCO5449352
MADRIGAL, JORGE NMNPRESIDENT & CEO / MEMBER3204950

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

PENSERRA SECURITIES, LLC

CRD#: 145994

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