KE
Karen J. Eng
CLSA AMERICAS
New York, NY 10036
Some features on this profile are disabled
CRD#: 7993747
KE
Professional summary
Karen Jane Eng is a registered financial advisor currently at CLSA AMERICAS, LLC located in New York, New York.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Karen has worked at 1 firm and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CLSA HK-is a dual employee of both entities until her transition to the U.S. is complete.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Jane Eng's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Jane Eng'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
February 21, 2025 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036RIA
BD
CRD#: 165533
New York, NY
Current
January 23, 2025 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036RIA
BD
CRD#: 165533
New York, NY
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
Alabama(6/2/2025)
RR
Alaska(6/2/2025)
RR
Arizona(6/2/2025)
RR
Arkansas(6/2/2025)
IAR
California(2/21/2025)
RR
California(2/25/2025)
RR
Colorado(6/2/2025)
IAR
Connecticut(2/21/2025)
RR
Connecticut(6/2/2025)
RR
Delaware(6/2/2025)
RR
District of Columbia(6/2/2025)
RR
Florida(2/25/2025)
RR
Georgia(6/2/2025)
RR
Hawaii(6/2/2025)
RR
Idaho(6/2/2025)
RR
Illinois(6/2/2025)
RR
Indiana(6/2/2025)
RR
Iowa(6/2/2025)
RR
Kansas(6/2/2025)
RR
Kentucky(6/2/2025)
RR
Louisiana(6/2/2025)
RR
Maine(6/2/2025)
RR
Maryland(6/2/2025)
RR
Massachusetts(6/2/2025)
RR
Michigan(6/2/2025)
RR
Minnesota(6/2/2025)
RR
Mississippi(6/2/2025)
RR
Missouri(6/2/2025)
RR
Montana(6/2/2025)
RR
Nebraska(6/2/2025)
RR
Nevada(6/2/2025)
RR
New Hampshire(6/2/2025)
RR
New Jersey(6/2/2025)
RR
New Mexico(6/2/2025)
RR
New York(2/25/2025)
RR
North Carolina(6/2/2025)
RR
North Dakota(6/2/2025)
RR
Ohio(6/3/2025)
RR
Oklahoma(6/2/2025)
RR
Oregon(6/2/2025)
RR
Pennsylvania(6/2/2025)
RR
Puerto Rico(6/2/2025)
RR
Rhode Island(6/2/2025)
RR
South Carolina(6/2/2025)
RR
South Dakota(6/2/2025)
RR
Tennessee(6/2/2025)
IAR
Texas(2/21/2025)
RR
Texas(2/25/2025)
RR
Utah(6/2/2025)
RR
Vermont(6/2/2025)
RR
Virgin Islands(6/2/2025)
RR
Virginia(2/25/2025)
RR
Washington(2/25/2025)
RR
West Virginia(6/2/2025)
RR
Wisconsin(6/2/2025)
RR
Wyoming(6/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/23/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61
FINRA licenses (53 States and Territories)
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.
