Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Karen LOUISE Mortimer
KAREN LOUISE DAUTERMAN, KAREN LOUISE GRAHAM
CRD#: 2375272
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 7825 FAY AVE
LA JOLLA, CA 92037
Registration History
19952000200520102015202020252 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1993 - 1996 (2 years)
License(s)

State Registrations

B
Alaska 3/19/2024
B
Minnesota 11/20/2022
B
Arizona 6/5/2009
B
Missouri 6/5/2009
B
California 6/5/2009
B
Nevada 7/30/2019
IA
California 6/9/2009
B
New Jersey 6/1/2023
B
Colorado 4/18/2022
B
New Mexico 1/8/2013
B
Connecticut 6/1/2023
B
New York 9/16/2020
B
Delaware 3/5/2012
B
North Carolina 1/20/2010
B
Florida 6/5/2009
B
Oregon 2/27/2020
B
Georgia 6/1/2023
B
Pennsylvania 1/24/2014
B
Hawaii 10/19/2017
B
South Carolina 3/9/2017
B
Illinois 4/14/2022
IA
Texas 6/8/2009
B
Indiana 1/8/2013
B
Texas 10/3/2017
B
Kansas 4/3/2017
B
Utah 9/21/2017
B
Maryland 6/1/2023
B
Virginia 6/5/2009
B
Massachusetts 1/25/2023
B
Washington 6/5/2009

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)
7825 FAY AVE, LA JOLLA, CA 92037
Registered with this firm since 6/8/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
7825 FAY AVE, LA JOLLA, CA 92037
Registered with this firm since 6/5/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2004 - 06/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RANCHO BERNARDO, CA
B
 04/19/2004 - 06/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RANCHO BERNARDO, CA
B
 08/04/1993 - 01/11/1996 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
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.