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KAREN L HAROOTENIAN
KAREN LYNN HAROOTENIAN, KAREN HAROOTENIAN RILEY
CRD#: 5952247
IA
B
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Suite 133
Walnut Creek, CA 94596
0
Disclosures
13
Years of Experience
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State Registrations
B
Arizona 3/15/2017
B
North Carolina 12/9/2020
B
California 10/1/2013
B
Ohio 1/5/2023
IA
California 10/2/2013
B
Oregon 3/15/2017
B
Colorado 10/24/2019
B
Pennsylvania 3/15/2017
B
Idaho 3/15/2017
B
South Carolina 12/14/2017
B
Illinois 12/5/2024
B
South Dakota 8/28/2019
B
Kentucky 2/12/2021
B
Texas 3/15/2017
B
Massachusetts 3/15/2017
IA
Texas 3/16/2017
B
Nevada 3/15/2017
B
Washington 11/7/2022
B
New York 3/15/2017
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 10/2/2013
B
Registered with this firm since 10/1/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/06/2011 - 09/24/2013 | WALNUT CREEK, CA | |
B | 08/29/2011 - 09/24/2013 | WALNUT CREEK, CA |
WALNUT CREEK, CA
10/06/2011 - 09/24/2013
WALNUT CREEK, CA
08/29/2011 - 09/24/2013
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.