Karin Ann Sheehy
Professional Summary
Karin Ann Sheehy, who also goes by Karin Ann Holizna, Karin Holizna, Karin Ann Orefice, is a registered financial advisor currently at CAVU SECURITIES LLC located in Red Bank, New Jersey. Karin is registered as a RR (Registered Representative) and started their career in finance in 1990. Karin has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7, Series 24, Series 4 and Series 12...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Karin Ann Holizna, Karin Holizna, Karin Ann Orefice
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CAVU SECURITIES LLC | POINT CAPITAL MARKETS, LLC | POINT CAPITAL MARKETS, INC. | JOHN M. CUNNINGHAM INC. | JOHN M, CUNNINGHAM, INC
Contact Information
Main Address
331 Newman Springs Rd Suite 320, Red Bank, NJ 07701Mailing Address
331 Newman Springs Rd Suite 320, Red Bank, NJ 07701Phone Number
(212) 916-3840Established
Delaware since 08/02/2010Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/1/2019)
(1/19/2022)
(4/1/2019)
(1/19/2022)
(4/2/2019)
(1/18/2022)
(4/1/2019)
(4/3/2019)
(4/1/2019)
(8/8/2013)
(7/11/2019)
(12/11/2020)
(11/6/2020)
(5/16/2019)
(10/25/2021)
(11/12/2020)
(10/18/2021)
(5/22/2019)
(4/2/2019)
(1/14/2022)
(4/8/2019)
(4/6/2022)
(12/10/2020)
(1/13/2022)
(11/18/2019)
(5/20/2019)
(10/20/2021)
(4/9/2019)
(4/2/2019)
(8/8/2013)
(1/13/2022)
(4/15/2013)
(8/8/2013)
(10/19/2021)
(3/18/2019)
(11/9/2020)
(8/8/2013)
(4/4/2019)
(4/2/2019)
(11/19/2020)
(4/1/2019)
(4/4/2019)
(11/6/2020)
(4/2/2019)
(1/13/2022)
(11/9/2020)
(4/1/2019)
(10/20/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 1999Series 12 — NYSE Branch Manager Examination
Passed Aug 1994SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Karin Ann Sheehy's CRS (Customer Relationship Summary).
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