Inactive

Karen Petersen Rau

Fiduciary Counselling Inc

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Current Employers

Fiduciary Counselling Inc

30 East 7Th Street, Suite 2000, St Paul, MN 55101-4930 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2016-12-03

MN RA
APPROVED

Since 2016-12-03

Branch Locations

30 East 7Th Street, Suite 2000, St Paul, MN 55101-4930 • 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
Fifth Third Bank	South Elgin	IL	10/2013	07/2016
Fifth Third Securities	South Elgin	IL	10/2013	07/2016
Fiduciary Counselling Inc.	St. Paul	MN	08/2016	Present

10/2013 → 07/2016

Fifth Third Bank

South Elgin, IL
10/2013 → 07/2016

Fifth Third Securities

South Elgin, IL
08/2016 → Present

Fiduciary Counselling Inc.

St. Paul, MN

Previous Registrations

2013-11-13 → 2016-08-09

Fifth Third Securities, Inc.

South Elgin, IL

Carpentersville, IL
2010-09-20 → 2013-10-07

Ausdal Financial Partners, Inc.

Downers Grove, IL
2007-05-29 → 2010-05-13

Citigroup Global Markets Inc.

Chicago, IL

Chicago, IL

Chicago, IL

Crystal Lake, IL
2005-08-17 → 2007-05-29

Citicorp Investment Services

Crystal Lake, IL

Crystal Lake, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-11-02
S63	Uniform Securities Agent State Law Examination	1995-08-31

S65 Uniform Investment Adviser Law Examination

2005-11-02
S63 Uniform Securities Agent State Law Examination

1995-08-31

Other Names

Karen Rau
Karen Kay Petersen

View on SEC IAPD

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HEATHER FITCH RADCLIFF

CHRISTOPHER J SCHWARTZ

JAMES P. SHAFER

MICHAEL BRIAN BLOCK

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Creighton Silvain

DOUGLAS JAMES BRUCE

Other Offices

UBS FINANCIAL SERVICES INC. · ST PAUL, MN

CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN

MAIRS & POWER · ST. PAUL, MN

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT PAUL, MN

HILLTOP SECURITIES INC. · St. Paul, MN

WELLS FARGO CLEARING SERVICES, LLC · SAINT PAUL, MN

CAPTRUST · ST. PAUL, MN

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SAINT PAUL, MN

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