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Karen Warner Lemay

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stuart, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-07-27
FL RA APPROVED 2017-06-30
  • TX RA
    APPROVED
    Since 2017-07-27
  • FL RA
    APPROVED
    Since 2017-06-30

Branch Locations

2301 Se Monterey Rd, Stuart, FL 34996 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Orlando FL 08/2013 11/2016
Wells Fargo Clearing Services, Llc Orlando FL 11/2016 06/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stuart FL 06/2017 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-01-29
  • S63 Uniform Securities Agent State Law Examination
    2001-01-29
Other Names
  • Karen Marie Warner
  • Karen Warner Dimmock
  • Karen Warner Lemay
  • Karen Lemay

View on SEC IAPD

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