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KAREN L SENNES
KAREN LYN DAVIS, DAVIS PAIGE, KAREN L PAIGE, KAREN LYN PAIGE, KAREN PAIGE
CRD#: 1371279
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 7825 FAY AVE
LA JOLLA, CA 92037
LA JOLLA, CA 92037
View By:
2/1/2002
Customer Dispute
Settled
State Registrations
B
Alaska 6/2/2017
B
Nebraska 11/15/2011
B
Arizona 7/8/2010
B
Nevada 7/8/2010
B
California 6/16/2009
B
New Hampshire 11/15/2011
IA
California 6/16/2009
B
New Jersey 7/8/2010
B
Colorado 7/8/2010
B
New Mexico 7/8/2010
B
Connecticut 11/15/2011
B
New York 7/8/2010
B
Delaware 11/15/2011
B
North Carolina 7/9/2010
B
District of Columbia 2/20/2018
B
Ohio 7/12/2010
B
Florida 7/8/2010
B
Oklahoma 7/8/2010
B
Georgia 7/8/2010
B
Oregon 7/8/2010
B
Hawaii 11/15/2011
B
Pennsylvania 7/8/2010
B
Idaho 7/8/2010
B
Rhode Island 11/15/2011
B
Illinois 7/8/2010
B
Texas 7/8/2010
B
Maine 7/8/2010
IA
Texas 7/8/2010
B
Maryland 11/15/2011
B
Virginia 7/8/2010
B
Massachusetts 7/8/2010
B
Washington 7/8/2010
B
Michigan 7/8/2010
B
Wisconsin 7/8/2010
B
Missouri 11/15/2011
SRO Registrations
B
B
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/16/2009
B
Registered with this firm since 6/16/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/27/2008 - 06/18/2009 | LA JOLLA, CA | |
B | 08/27/2008 - 06/18/2009 | LA JOLLA, CA | |
IA | 08/13/2004 - 08/28/2008 | SAN DIEGO, CA | |
B | 02/04/1999 - 08/28/2008 | SAN DIEGO, CA | |
B | 03/02/1998 - 12/23/1998 | CARLSBAD, CA | |
B | 12/11/1995 - 10/29/1997 | NEW YORK, NY | |
B | 08/04/1994 - 12/31/1995 | PHOENIX, AZ | |
B | 07/31/1993 - 10/08/1993 | NEW YORK, NY | |
B | 06/02/1993 - 07/31/1993 | NEW YORK, NY |
SAN DIEGO, CA
08/13/2004 - 08/28/2008
SAN DIEGO, CA
02/04/1999 - 08/28/2008
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.