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Detailed Report
KAREN ANN HENKE
KAREN A HENKE, KAREN A LEISE
CRD#: 2101509
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 Omaha, NE
Registration History
19952000200520102015202020252 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - Present (18 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 2003 (10 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1995 - 2003 (8 years)
License(s)

State Registrations

B
Arizona 3/2/2021
IA
Missouri 1/27/2017
B
Arkansas 3/4/2021
B
Missouri 3/2/2021
B
California 3/4/2021
B
Montana 1/25/2023
B
Colorado 3/2/2021
B
Nebraska 5/10/2006
IA
Colorado 12/9/2021
IA
Nebraska 5/16/2006
B
Delaware 3/4/2021
B
New Mexico 3/4/2021
B
District of Columbia 3/4/2021
B
New York 3/4/2021
B
Florida 3/4/2021
B
North Carolina 3/4/2021
B
Georgia 6/15/2023
B
Ohio 3/4/2021
B
Idaho 3/4/2021
B
Oklahoma 3/4/2021
B
Illinois 3/4/2021
B
Oregon 3/2/2021
B
Indiana 3/2/2021
B
Pennsylvania 3/4/2021
IA
Iowa 4/5/2012
B
South Carolina 6/23/2023
B
Iowa 3/4/2021
IA
South Dakota 3/23/2012
IA
Kansas 1/31/2017
B
South Dakota 3/2/2021
B
Kansas 3/2/2021
B
Tennessee 3/4/2021
B
Kentucky 3/4/2021
IA
Texas 1/28/2013
B
Maine 3/4/2021
B
Texas 3/2/2021
B
Maryland 3/4/2021
B
Virginia 3/4/2021
B
Massachusetts 3/4/2021
B
Washington 3/4/2021
B
Michigan 3/4/2021
B
Wisconsin 3/4/2021
B
Minnesota 3/2/2021

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
Omaha, NE
13321 CALIFORNIA ST, OMAHA, NE 68154
Registered with this firm since 5/16/2006
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
Omaha, NE
13321 CALIFORNIA ST, OMAHA, NE 68154
Registered with this firm since 5/10/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/01/2003 - 05/08/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) EDMOND, OK
B
 07/01/2003 - 05/08/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) EDMOND, OK
IA
 04/04/1995 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) OKLAHOMA CITY, OK
B
 05/07/1993 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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.