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Detailed Report
KAREN SHAHINIAN
KAREN THERESE SPILLY, KAREN THERESE SPILLY-SHAHINIAN, KAREN SPILLY-SHAHINIAN
CRD#: 2803358
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 SPECTRUM CENTER DR
IRVINE, CA 92618
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2010 (10 years)2 FIRMS2012 - Present (12 years)BMONEY CONCEPTS CAPITAL CORP (CRD# 12963)1998 - 2000 (1 year)BWEST AMERICA SECURITIES CORP (CRD# 35035)1997 - 1997 (<1 year)
License(s)

State Registrations

B
Alaska 12/14/2020
B
Michigan 2/22/2021
IA
Alaska 12/21/2020
B
Minnesota 7/11/2024
B
Arizona 9/2/2016
B
Missouri 7/16/2024
IA
California 7/16/2012
B
Nebraska 11/12/2015
B
California 7/30/2012
B
Nevada 9/19/2016
B
Colorado 9/6/2016
B
New York 9/6/2016
B
Connecticut 9/29/2020
B
North Carolina 9/7/2016
B
Delaware 7/11/2024
B
Oregon 7/11/2024
B
Florida 9/6/2016
B
Tennessee 10/10/2017
B
Georgia 7/11/2024
B
Texas 9/2/2016
B
Idaho 1/4/2023
IA
Texas 9/2/2016
B
Illinois 7/11/2024
B
Utah 9/15/2017
B
Indiana 7/8/2022
B
Virginia 5/6/2024
B
Iowa 7/11/2024
B
Washington 9/8/2016
B
Massachusetts 8/6/2014
B
Wisconsin 9/6/2016

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)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Ladera Ranch, CA
Registered with this firm since 7/30/2012
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Ladera Ranch, CA
Registered with this firm since 7/16/2012
Previous Registration(s)
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IA
 08/08/2000 - 09/02/2010 INVESTMENT ADVISORS (CRD#:15708) LADERA RANCH, CA
B
 06/21/2000 - 09/02/2010 PROEQUITIES, INC. (CRD#:15708) LADERA RANCH, CA
B
 10/19/1998 - 06/21/2000 MONEY CONCEPTS CAPITAL CORP (CRD#:12963) PALM BEACH GARDENS, FL
B
 01/01/1997 - 05/21/1997 WEST AMERICA SECURITIES CORP (CRD#:35035)
FINRA expelled the firm on 10/08/2013
LAS VEGAS, NV
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.