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Detailed Report
ROBERT ALAN KARN
CRD#: 1182193
IA
Investment Adviser
B
Broker
CWM, LLCCRD#: 155344 10 Melrose Dr.
Farmington, CT 06032
CETERA ADVISOR NETWORKS LLCCRD#: 13572 10 MELROSE DRIVE
FARMINGTON, CT 06032
Registration History
1985199019952000200520102015202020252 FIRMS2022 - Present (2 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1989 - 2022 (32 years)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1989 - 1989 (<1 year)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1983 - 1989 (6 years)IAKARN, COUZENS & ASSOCIATES, INC. (CRD# 115582)1990 - 2022 (31 years)IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1993 - 2022 (28 years)
License(s)

State Registrations

B
California 5/9/2022
B
Montana 5/9/2022
B
Colorado 5/9/2022
B
Nevada 5/9/2022
B
Connecticut 5/9/2022
B
New Hampshire 5/9/2022
IA
Connecticut 5/9/2022
B
New Jersey 5/9/2022
B
Delaware 5/9/2022
B
New York 5/9/2022
B
District of Columbia 5/9/2022
B
North Carolina 5/19/2022
B
Florida 5/9/2022
B
Ohio 5/10/2022
IA
Florida 6/3/2024
B
Oregon 5/9/2022
B
Georgia 5/9/2022
B
Rhode Island 5/9/2022
B
Illinois 5/9/2022
B
South Carolina 5/9/2022
B
Indiana 5/9/2022
B
Texas 5/9/2022
B
Maine 5/9/2022
IA
Texas 5/9/2022
B
Maryland 5/9/2022
B
Vermont 5/9/2022
B
Massachusetts 5/9/2022
B
Virginia 5/9/2022
B
Minnesota 5/9/2022
B
Washington 5/9/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CWM, LLC (CRD#:155344)
10 Melrose Dr., Farmington, CT 06032
Registered with this firm since 5/9/2022
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
10 MELROSE DRIVE, FARMINGTON, CT 06032
Registered with this firm since 5/9/2022
Previous Registration(s)
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IA
 07/23/1990 - 05/12/2022 KARN, COUZENS & ASSOCIATES, INC. (CRD#:115582) FARMINGTON, CT
IA
 10/27/1993 - 05/11/2022 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) FARMINGTON, CT
B
 11/19/1989 - 05/11/2022 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) FARMINGTON, CT
B
 11/24/1989 - 12/11/1989 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
B
 10/20/1983 - 11/19/1989 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.