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Detailed Report
Karen S Roberts
KAREN SUSAN Roberts, KAREN SUSAN WILLIAMS
CRD#: 5514149
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1901 Main Street
Suite 700
Irvine, CA 92614
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2010 (2 years)2 FIRMS2012 - 2013 (1 year)3 FIRMS2015 - 2020 (5 years)2 FIRMS2020 - 2022 (1 year)2 FIRMS2023 - Present (2 years)
License(s)

State Registrations

B
Alabama 7/12/2023
B
Nebraska 7/12/2023
B
Alaska 7/12/2023
B
Nevada 7/12/2023
B
Arizona 7/12/2023
B
New Hampshire 7/12/2023
B
Arkansas 7/12/2023
B
New Jersey 7/12/2023
B
California 1/19/2023
B
New Mexico 7/12/2023
IA
California 1/19/2023
B
New York 7/12/2023
B
Colorado 7/12/2023
B
North Carolina 7/12/2023
B
Connecticut 7/12/2023
B
North Dakota 7/12/2023
B
Delaware 7/12/2023
B
Ohio 7/13/2023
B
District of Columbia 7/12/2023
B
Oklahoma 7/12/2023
B
Florida 7/12/2023
B
Oregon 7/12/2023
B
Georgia 7/12/2023
B
Pennsylvania 7/12/2023
B
Hawaii 7/12/2023
B
Puerto Rico 7/12/2023
B
Idaho 7/12/2023
B
Rhode Island 7/12/2023
B
Illinois 7/12/2023
B
South Carolina 7/12/2023
B
Indiana 7/12/2023
B
South Dakota 7/12/2023
B
Iowa 7/12/2023
B
Tennessee 7/12/2023
B
Kansas 7/12/2023
B
Texas 7/19/2023
B
Kentucky 7/12/2023
IA
Texas 7/21/2023
B
Louisiana 7/12/2023
B
Utah 7/12/2023
B
Maine 7/12/2023
B
Vermont 7/12/2023
B
Maryland 7/12/2023
B
Virgin Islands 7/12/2023
B
Massachusetts 7/12/2023
B
Virginia 7/12/2023
B
Michigan 7/12/2023
B
Washington 7/12/2023
B
Minnesota 7/12/2023
B
West Virginia 7/12/2023
B
Mississippi 7/12/2023
B
Wisconsin 7/12/2023
B
Missouri 7/12/2023
B
Wyoming 7/12/2023
B
Montana 7/12/2023

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
1901 Main Street Suite 700, Irvine, CA 92614
Registered with this firm since 1/19/2023
B
MORGAN STANLEY (CRD#:149777)
1901 Main Street Suite 700, Irvine, CA 92614
Registered with this firm since 1/19/2023
Previous Registration(s)
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IA
 12/22/2020 - 04/14/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Upland, CA
B
 12/22/2020 - 04/14/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Upland, CA
IA
 12/15/2015 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Rancho Cucamonga, CA
IA
 12/15/2015 - 12/31/2020 TD AMERITRADE, INC. (CRD#:7870) Upland, CA
B
 12/16/2015 - 12/31/2020 TD AMERITRADE, INC. (CRD#:7870) Upland, CA
IA
 03/23/2012 - 12/20/2013 METLIFE SECURITIES INC. (CRD#:14251) BREA, CA
B
 03/28/2012 - 12/20/2013 METLIFE SECURITIES INC. (CRD#:14251) BREA, CA
IA
 07/09/2008 - 09/21/2010 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) ONTARIO, CA
B
 06/25/2008 - 09/21/2010 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) ONTARIO, CA
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.