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Detailed Report
KAREN Ann Griffiths
KAREN A EGBERT, KAREN ANN EGBERT, KAREN ANN SMITH
CRD#: 4377513
IA
Investment Adviser
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Previous Broker
MARINER INDEPENDENTCRD#: 305418 1108 11th Street
Suite 305
Bellingham, WA 98225
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2022 (7 years)IAMARINER INDEPENDENT (CRD# 305418)2022 - Present (2 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2022 - 2023 (1 year)
License(s)

State Registrations

IA
Washington 4/22/2022
Current Registration(s)
IA
MARINER INDEPENDENT (CRD#:305418)
1108 11th Street Suite 305, Bellingham, WA 98225
Registered with this firm since 4/22/2022
Previous Registration(s)
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 04/22/2022 - 10/31/2023 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Bellingham, WA
IA
 05/13/2015 - 05/03/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BELLINGHAM, WA
B
 05/13/2015 - 05/03/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BELLINGHAM, WA
IA
 12/20/2013 - 05/08/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLINGHAM, WA
B
 10/10/2013 - 05/08/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLINGHAM, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.