Karen M. Poncedeleon
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 Marie Poncedeleon, who also goes by Karen Marie Halligan, Karen Marie Kastrup Halligan, Karen Marie Kastrup, Karen M Poncedeleon, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1976. Karen had worked at 7 firms and has passed the Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1997 - June 29, 2017
LIBERTY CAPITAL INVESTMENT CORPORATION
October 29, 1986 - December 22, 1997
A. G. EDWARDS & SONS, INC.
September 19, 1983 - October 31, 1986
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
October 19, 1981 - July 12, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 1980 - November 6, 1981
MORGAN STANLEY DW INC.
March 7, 1977 - March 29, 1980
E. F. HUTTON & COMPANY INC
May 3, 1976 - January 31, 1977
BLACK & COMPANY, INC.
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
PC
Date: 9/30/1977
AMEX Put and Call ExamCurrent Firm
LIBERTY CAPITAL INVESTMENT CORPORATION
CRD#: 25706 / SEC#: , 8-42051
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPURA, GARY FRANK | PRESIDENT/CEO/CCO/CFO | 368952 |
| REEL, ANTHONY ALLEN | SHAREHOLDER / REGISTERED REPRESENTATIVE | 4388993 |
| REEL, STEFANIE ANN | SECRETARY/TREASURER/MANAGER | 4410781 |
| BRUNDAGE, ROGER ALWYN | SHAREHOLDER / REGISTERED REPRESENTATIVE | 33605 |
| WALKER, ROBERT ALLEN | SHAREHOLDER / REGISTERED REPRESENTATIVE | 1501658 |
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 78,074,006 |
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.
