Karen Shahinian

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
AK	RA	APPROVED	2020-12-21
TX	RA	APPROVED_RES	2016-09-02
CA	RA	APPROVED	2012-07-16

AK RA
APPROVED

Since 2020-12-21
TX RA
APPROVED_RES

Since 2016-09-02
CA RA
APPROVED

Since 2012-07-16

Branch Locations

100 Spectrum Center Dr, Irvine, CA 92618 • United States

Ladera Ranch, CA • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Laguna Hills	CA	06/2012	Present
Bank Of America, N.A.	Laguna Hills	CA	09/2012	Present

06/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Hills, CA
09/2012 → Present

Bank Of America, N.A.

Laguna Hills, CA

Previous Registrations

2000-08-08 → 2010-09-02

Concourse Financial Group Securities, Inc.

Ladera Ranch, CA

Ladera Ranch, CA

Other Businesses

KAREN SPILLY-SHAHINIAN, LADERA RANCH, CALIFORNIA 92694, INVESTMENT RLT'D - YES, HRS DEVOTED TO ACTIVITY - 0, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 06/11/00, POSITION - INDEPENDENT LIFE AGENT; TERM POLICIES ONLY - LIFE AGENT FOR A COUPLE OF TERM ACCOUNTS. 1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: PROTECTIVE LIFE 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: BIRMINGHAM, ALABAMA 35202 5.NATURE OF BUSINESS: CORPORATION, 7.POSITION, TITLE, ASSOCIATION: OTHER, N/A 8.START DATE OF RELATIONSHIP: 8/1/2010 9.NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY 10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 11.DUTIES: TERM LIFE INSURANCE TRAILERS AS WRITING AGENT ONLY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-15
S63	Uniform Securities Agent State Law Examination	1996-12-19

S65 Uniform Investment Adviser Law Examination

1999-10-15
S63 Uniform Securities Agent State Law Examination

1996-12-19

Other Names

Karen Therese Spilly
Karen Therese Spilly
Karen Therese Spilly-Shahinian
Karen Spilly-Shahinian

View on SEC IAPD