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Detailed Report
MELISSA ANN KARPEN
MELISSA ANN CAETON
CRD#: 5871301
IA
Investment Adviser
B
Broker
CAPTRUSTCRD#: 175112 10811 MAIN STREET
Bellevue, WA 98004
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 10811 MAIN STREET
BELLEVUE, WA 98004
Registration History
201220142016201820202022202420262 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - 2016 (1 year)2 FIRMS2023 - Present (1 year)BPRIVATE CLIENT SERVICES, LLC (CRD# 120222)2016 - 2023 (7 years)IATRUTINA FINANCIAL (CRD# 148866)2017 - 2024 (6 years)
License(s)

State Registrations

B
California 12/7/2023
B
Washington 12/7/2023
B
Florida 12/7/2023
IA
Washington 12/7/2023
B
Oregon 12/7/2023

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
CAPTRUST (CRD#:175112)
10811 MAIN STREET, Bellevue, WA 98004
Registered with this firm since 12/7/2023
B
CAPFINANCIAL SECURITIES, LLC. (CRD#:126291)
10811 MAIN STREET, BELLEVUE, WA 98004
Registered with this firm since 12/7/2023
Previous Registration(s)
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IA
 12/06/2017 - 03/28/2024 TRUTINA FINANCIAL (CRD#:148866) BELLEVUE, WA
B
 02/11/2016 - 12/08/2023 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) BELLEVUE, WA
IA
 07/07/2014 - 01/08/2016 KMS FINANCIAL SERVICES, INC (CRD#:3866) BOTHELL, WA
B
 07/07/2014 - 01/08/2016 KMS FINANCIAL SERVICES, INC. (CRD#:3866) BOTHELL, WA
IA
 05/21/2012 - 07/08/2014 EDWARD JONES (CRD#:250) REDMOND, WA
B
 02/23/2012 - 07/08/2014 EDWARD JONES (CRD#:250) REDMOND, WA
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.