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Detailed Report
Karen Schwocho-Tunnecliffe
Karen Irene Kreinbring, Karen Irene Schwocho, Karen Schwocho, Karen Irene Schwocho-Tunnecliffe, Karen Irene Supal…
CRD#: 2505611
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 385 S. ETON STREET
BIRMINGHAM, MI 48009
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BCOMERICA SECURITIES (CRD# 17079)2019 - 2021 (2 years)BEQUITY SERVICES, INC. (CRD# 265)2017 - 2018 (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2014 - 2017 (3 years)BNEW ENGLAND SECURITIES (CRD# 615)2010 - 2014 (3 years)BMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2013 (2 years)BMETLIFE SECURITIES INC. (CRD# 14251)2006 - 2010 (3 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2006 - 2007 (<1 year)BFSC SECURITIES CORPORATION (CRD# 7461)2005 - 2006 (<1 year)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2002 - 2005 (3 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2000 - 2002 (1 year)BTHE VARIABLE ANNUITY MARKETING... (CRD# 5081)2000 - 2001 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2000 (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1998 - 1999 (<1 year)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)1997 - 1998 (1 year)BSECURITIES AMERICA, INC. (CRD# 10205)1996 - 1997 (<1 year)BGOLD SECURITIES CORP. (CRD# 18298)1996 - 1996 (<1 year)IACOMERICA SECURITIES (CRD# 17079)2021 - 2021 (<1 year)
Disclosure(s)
View By:
6/1/2007
Customer Dispute
Denied
License(s)

State Registrations

B
Michigan 11/10/2023
B
New York 9/9/2024
IA
Michigan 11/10/2023
IA
New York 9/9/2024

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
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
OPPENHEIMER & CO. INC. (CRD#:249)
385 S. ETON STREET, BIRMINGHAM, MI 48009
CLAWSON, MI
Registered with this firm since 11/10/2023
B
OPPENHEIMER & CO. INC. (CRD#:249)
385 S. ETON STREET, BIRMINGHAM, MI 48009
CLAWSON, MI
Registered with this firm since 11/10/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/15/2023 - 11/08/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) GROSSE POINTE, MI
B
 06/15/2023 - 11/08/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) GROSSE POINTE, MI
IA
 06/16/2021 - 06/02/2023 MORGAN STANLEY (CRD#:149777) Birmingham, MI
B
 06/16/2021 - 06/02/2023 MORGAN STANLEY (CRD#:149777) Birmingham, MI
IA
 01/29/2021 - 02/16/2021 COMERICA SECURITIES (CRD#:17079) BLOOMFIELD HILLS, MI
B
 01/03/2019 - 02/16/2021 COMERICA SECURITIES (CRD#:17079) BLOOMFIELD HILLS, MI
B
 12/14/2017 - 06/18/2018 EQUITY SERVICES, INC. (CRD#:265) TROY, MI
B
 10/29/2014 - 11/03/2017 CETERA ADVISORS LLC (CRD#:10299) NOVI, MI
B
 10/01/2010 - 05/06/2014 NEW ENGLAND SECURITIES (CRD#:615) BOSTON, MA
B
 04/28/2011 - 07/02/2013 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 12/05/2006 - 10/04/2010 METLIFE SECURITIES INC. (CRD#:14251) TROY, MI
B
 12/05/2006 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) TROY, MI
B
 09/26/2005 - 03/02/2006 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 09/26/2002 - 09/09/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
 10/10/2000 - 07/12/2002 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
 10/10/2000 - 12/31/2001 THE VARIABLE ANNUITY MARKETING COMPANY (CRD#:5081) HOUSTON, TX
B
 04/06/1999 - 11/09/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 07/08/1998 - 03/29/1999 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 01/02/1997 - 07/20/1998 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
 09/20/1996 - 01/07/1997 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
B
 05/23/1996 - 09/18/1996 GOLD SECURITIES CORP. (CRD#:18298) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
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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
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.