Karen Vergara

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-03-31

Branch Locations

One Destiny Way, Westlake, TX 76262-8103 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Scottrade	Houston	TX	07/2014	02/2018
Td Ameritrade, Inc.	Sugarland	TX	02/2018	01/2019
Td Ameritrade Investment Management, Llc	Omaha	NE	02/2018	01/2019
Charles Schwab & Co., Inc.	Pasadena	CA	01/2019	05/2022
Charles Schwab Bank	Pasadena	CA	01/2019	05/2022
Fidelity Investments	Dallas	TX	05/2022	Present
Fidelity Investments	Boston	MA	03/2025	Present

2022-07-03 → 2025-03-31

Fidelity Personal And Workplace Advisors

Dallas, TX
2019-03-06 → 2022-05-05

Charles Schwab & Co., Inc.

Pasadena, CA

Woodland Hills, CA
2018-02-27 → 2019-01-14

Td Ameritrade, Inc.

Sugarland, TX
2018-02-26 → 2019-01-14

Td Ameritrade Investment Management, Llc

Omaha, NE
2016-06-27 → 2018-02-26

Scottrade Investment Management

Saint Louis, MO
2014-01-01 → 2014-07-07

1St Global Advisors Inc

Dallas, TX
2010-03-05 → 2013-12-06

Td Ameritrade, Inc.

Fort Worth, TX

Westlake, TX
2010-03-05 → 2013-12-06

Td Ameritrade Investment Management, Llc

Fort Worth, TX

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-03-01
S63	Uniform Securities Agent State Law Examination	2008-09-05