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Karen Schwartzman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Jersey City, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-03-31
  • NJ RA
    APPROVED
    Since 2017-03-31

Branch Locations

1100-1800 American Blvd Investment Solutions Group, Pennington, NJ 08534 • United States

525 Washington Blvd Investment Solutions Group, Jersey City, NJ 07310 • 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
Aua Capital Management Mechanicsburg PA 06/2015 01/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mount Laurel NJ 02/2017 Present
Previous Registrations
  • 2016-10-07 → 2017-01-30
    Aua Capital Management
    Camp Hill, PA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-03-30
S65 Uniform Investment Adviser Law Examination 2016-10-07
  • S63 Uniform Securities Agent State Law Examination
    2017-03-30
  • S65 Uniform Investment Adviser Law Examination
    2016-10-07
Other Names
  • Karen S Fliegel
  • Karen Fliegel Schwartzman

View on SEC IAPD

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