Karen Kay Stewart

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

201 Ward St Ste 2A, Montgomery, NY 12549-1248 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Montgomery	NY	07/2005	Present

07/2005 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Montgomery, NY

Other Businesses

1. 07/15/2005 - STEWART AND ASSOCIATES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 01/02/2026 - J. ALLEN STEWART & ASSOCIATES INC. - DBA for LPL Business (entity for LPL business) - Investment Releated - At Reported Business Location(s) - Start Date 11/01/2025 - 120 hours per month/ during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-10-31
S63	Uniform Securities Agent State Law Examination	1998-09-26

S65 Uniform Investment Adviser Law Examination

2000-10-31
S63 Uniform Securities Agent State Law Examination

1998-09-26

Other Names

Karen Kay Drizos

View on SEC IAPD