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Richard Bruce Karlen

Millenium Financial Services

Peabody, MA

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Current Employers
Millenium Financial Services

Natick, MA • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 1998-03-18
  • MA RA
    APPROVED
    Since 1998-03-18

Branch Locations

182 Newbury Street, Peabody, MA 01960 • 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
Millenium Financial Services Peabody MA 01/1998 Present
Essex Securities Llc Danvers MA 01/2004 Present
Previous Registrations
  • 1998-04-17 → 2005-09-30
    Global Investment Advisors, Llc
    Danvers, MA
Other Businesses

INSURANCE BROKER LOCATED AT 182 NEWBURY STREET PEABODY MA 01960 100% OF TIME AT THIS ACTIVITY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-24
S63 Uniform Securities Agent State Law Examination 1994-05-18
  • S65 Uniform Investment Adviser Law Examination
    1998-02-24
  • S63 Uniform Securities Agent State Law Examination
    1994-05-18

View on SEC IAPD

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