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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-11-05
TX RA APPROVED_RES 2009-11-02
  • FL RA
    APPROVED
    Since 2009-11-05
  • TX RA
    APPROVED_RES
    Since 2009-11-02

Branch Locations

9000 Southside Blvd Bldg 600, Jacksonville, FL 32256 • United States

33451 Us Highway 19 N Global Human Resources- The Academy,, Palm Harbor, FL 34684 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville FL 05/2006 Present
Bank Of America, N.A. Jacksonville FL 11/2009 Present
Other Businesses

I*969232 For profit or not for profit: Entity For Profit Name of outside business organization: Winter Palms Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 8/29/2022 Number of hours devoted: 10 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Retail Sales including whole sale distribution of retail products (toys, beauty products, home goods, etc.). I will act as the business owner

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-22
  • S66 Uniform Combined State Law Examination
    2009-09-22
Other Names
  • Karen Anne Warn
  • Karen Anne Warn
  • Karen A Uzzel

View on SEC IAPD

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