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Karen Yvonne Holmes

LPl Financial LLC

Rockville, MD

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2018-12-19
TX RA APPROVED 2018-12-19
  • MD RA
    APPROVED
    Since 2018-12-19
  • TX RA
    APPROVED
    Since 2018-12-19

Branch Locations

20 Courthouse Square, Ste 217, Rockville, MD 20850 • 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
1St Global Capital Corp. Rockville MD 01/1998 12/2018
1St Global Advisors, Inc. Rockville MD 10/1998 12/2018
Holmes And Associates Accounting Services, Llc Rockville MD 01/2002 Present
1St Global Insurance Services, Inc. Rockville MD 03/2006 12/2018
Lpl Financial Llc Rockville MD 12/2018 Present
  • 01/1998 → 12/2018
    1St Global Capital Corp.
    Rockville, MD
  • 10/1998 → 12/2018
    1St Global Advisors, Inc.
    Rockville, MD
  • 01/2002 → Present
    Holmes And Associates Accounting Services, Llc
    Rockville, MD
  • 03/2006 → 12/2018
    1St Global Insurance Services, Inc.
    Rockville, MD
  • 12/2018 → Present
    Lpl Financial Llc
    Rockville, MD
Previous Registrations
  • 1998-10-15 → 2018-12-20
    1St Global Advisors Inc
    Rockville, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-08
S63 Uniform Securities Agent State Law Examination 1997-11-14
  • S65 Uniform Investment Adviser Law Examination
    1998-09-08
  • S63 Uniform Securities Agent State Law Examination
    1997-11-14
Designations
Other Names
  • Karen Wilson

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NAVY FEDERAL INVESTMENT SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC
UNITED BROKERAGE SERVICES, INC
PROFIT INVESTMENTS
ORTMAN FINANCIAL PLANNING
LPL ENTERPRISE, LLC

Other Investors

JOHN BRIAN OETTINGER
JORDAN SCOTT KRAUS
Anna Laureys Squier
JASON SCOTT COHEN
JENNIFER CHRISTINE PASCAL
DANIEL RONIS
Annalise Taylor Haywood
Liam Christopher Sweet

Other Offices

LPL FINANCIAL LLC · ROCKVILLE, MD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROCKVILLE, MD
NAVY FEDERAL INVESTMENT SERVICES, LLC · Rockville, MD
STATE FARM INVESTMENT MANAGEMENT CORP. · N Bethesda, MD
J.P. MORGAN SECURITIES LLC · Rockville, MD
UNITED BROKERAGE SERVICES, INC · ROCKVILLE, MD
PROFIT INVESTMENTS · NORTH BETHESDA, MD
ORTMAN FINANCIAL PLANNING · NORTH BETHESDA, MD

More in Rockville, MD

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