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Detailed Report
KAREN A SLOAN
KAREN SLOAN
CRD#: 4008776
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 ONE N JEFFERSON AVE
ST. LOUIS, MO 63103
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2000 (<1 year)2 FIRMS2005 - 2005 (<1 year)3 FIRMS2005 - 2006 (<1 year)2 FIRMS2014 - 2017 (3 years)2 FIRMS2018 - Present (7 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2008 - 2014 (6 years)BFFP SECURITIES, INC. (CRD# 16337)2006 - 2008 (2 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2004 - 2004 (<1 year)BONEAMERICA SECURITIES, INC. (CRD# 4173)2003 - 2004 (<1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2001 - 2003 (2 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2007 - 2014 (7 years)IAFFP ADVISORY SERVICES INC (CRD# 110778)2006 - 2007 (<1 year)
License(s)

State Registrations

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Alabama 4/24/2018
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Montana 4/24/2018
B
Alaska 4/24/2018
B
Nebraska 4/24/2018
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Arizona 4/24/2018
B
Nevada 4/24/2018
B
Arkansas 4/24/2018
B
New Hampshire 4/24/2018
B
California 4/24/2018
B
New Jersey 4/24/2018
B
Colorado 4/24/2018
B
New Mexico 4/24/2018
B
Connecticut 4/24/2018
B
New York 4/24/2018
B
Delaware 4/24/2018
B
North Carolina 4/26/2018
B
District of Columbia 4/24/2018
B
North Dakota 4/24/2018
B
Florida 4/24/2018
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Ohio 4/25/2018
B
Georgia 4/24/2018
B
Oklahoma 4/24/2018
B
Hawaii 4/24/2018
B
Oregon 4/24/2018
B
Idaho 4/24/2018
B
Pennsylvania 4/24/2018
B
Illinois 4/24/2018
B
Puerto Rico 4/24/2018
B
Indiana 4/24/2018
B
Rhode Island 4/24/2018
B
Iowa 4/24/2018
B
South Carolina 4/24/2018
B
Kansas 4/24/2018
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South Dakota 4/24/2018
B
Kentucky 4/24/2018
B
Tennessee 4/24/2018
B
Louisiana 4/24/2018
B
Texas 4/24/2018
B
Maine 4/24/2018
B
Utah 4/24/2018
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Maryland 4/24/2018
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Vermont 4/24/2018
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Massachusetts 4/24/2018
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Virgin Islands 4/24/2018
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Michigan 4/24/2018
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Virginia 4/24/2018
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Minnesota 4/24/2018
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Washington 4/24/2018
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Mississippi 4/24/2018
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West Virginia 4/24/2018
B
Missouri 4/10/2018
B
Wisconsin 4/24/2018
IA
Missouri 4/10/2018
B
Wyoming 4/24/2018

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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
WELLS FARGO ADVISORS (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Registered with this firm since 4/10/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Registered with this firm since 4/10/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/22/2014 - 11/17/2017 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST LOUIS, MO
B
 07/22/2014 - 11/17/2017 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST. LOUIS, MO
IA
 01/01/2007 - 07/24/2014 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) CHESTERFIELD, MO
B
 06/02/2008 - 07/22/2014 FIRST ALLIED SECURITIES, INC. (CRD#:32444) CHESTERFIELD, MO
B
 03/14/2006 - 06/02/2008 FFP SECURITIES, INC. (CRD#:16337) CHESTERFIELD, MO
IA
 03/14/2006 - 01/01/2007 FFP ADVISORY SERVICES INC (CRD#:110778) CHESTERFIELD, MO
IA
 12/06/2005 - 03/13/2006 METLIFE SECURITIES INC. (CRD#:14251) ST. LOUIS, MO
B
 12/06/2005 - 03/13/2006 METLIFE SECURITIES INC. (CRD#:14251) ST. LOUIS, MO
B
 12/06/2005 - 03/13/2006 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) ST. LOUIS, MO
IA
 06/17/2005 - 12/31/2005 CITISTREET FINANCIAL SERVICES LLC (CRD#:107311) MILWAUKEE, WI
B
 05/12/2005 - 12/31/2005 CITISTREET EQUITIES LLC (CRD#:7447) SOMERSET, NJ
B
 05/18/2004 - 09/03/2004 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
B
 06/10/2003 - 05/14/2004 ONEAMERICA SECURITIES, INC. (CRD#:4173) INDIANAPOLIS, IN
B
 07/23/2001 - 07/18/2003 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
 09/21/1999 - 01/31/2000 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
 09/21/1999 - 01/31/2000 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
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.