Karen Laura Caulfield

Employer firm

D.a. Davidson & Co. CRD 199

$41.8B regulatory AUM 1,050 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2016 → 10/2016
  Unemployed
  Austin, TX
• 10/2016 → 03/2023
  Hilltop Securities Inc.
  Dallas, TX
• 03/2023 → Present
  D.A. Davidson & Co.
  Austin, TX

Previous Registrations

• 2016-10-07 → 2023-04-22
  Hilltop Securities Inc.
  Dallas, TX
  Austin, TX
• 2016-01-13 → 2016-05-09
  Voya Financial Advisors, Inc.
  Austin, TX
  Houston, TX
• 2010-09-27 → 2015-02-09
  Oppenheimer & Co. Inc.
  Austin, TX
• 2009-12-11 → 2010-09-27
  Wells Fargo Clearing Services, Llc
  Austin, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-07-13
• S63 Uniform Securities Agent State Law Examination
  1993-10-01

Other Names

• Karen Laura Caulfield
• Karen Laura Caulfieldmuckelroy