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Detailed Report
KAREN MARIE CAPEN
KAREN M CAPEN, KAREN MARIE GRUNSTRA
CRD#: 4083166
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 74 Brick Blvd Bldg 2
Suite 103
Brick, NJ 08723
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 74 Brick Blvd Bldg 2
Suite 103
Brick, NJ 08723
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (<1 year)2 FIRMS2011 - 2016 (5 years)2 FIRMS2017 - Present (7 years)BM HOLDINGS SECURITIES, INC. (CRD# 43285)2016 - 2016 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (5 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)
License(s)

State Registrations

B
New Jersey 3/22/2017
IA
New Jersey 11/6/2017

SRO Registrations

B
 FINRA

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
74 Brick Blvd Bldg 2 Suite 103, Brick, NJ 08723
Registered with this firm since 11/6/2017
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
74 Brick Blvd Bldg 2 Suite 103, Brick, NJ 08723
Registered with this firm since 3/22/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/25/2016 - 09/16/2016 M HOLDINGS SECURITIES, INC. (CRD#:43285) PT. PLEASANT BEACH, NJ
IA
 05/16/2011 - 06/30/2016 MORGAN STANLEY (CRD#:149777) TOMS RIVER, NJ
B
 05/16/2011 - 06/30/2016 MORGAN STANLEY (CRD#:149777) TOMS RIVER, NJ
IA
 06/01/2009 - 04/26/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TOMS RIVER, NJ
B
 06/01/2009 - 04/26/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) TOMS RIVER, NJ
IA
 06/08/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TOMS RIVER, NJ
B
 12/17/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TOMS RIVER, NJ
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.