In her current capacity as the Vice President of Agency Supervision, Karen’s responsibilities include overseeing compliance with state and federal regulations, as well as those set by the Broker/Dealer. Leading a team that oversees over 140 advisors and 30 registered staff and assistants, Karen is committed to upholding the highest standards of professionalism.
Karen holds her FINRA 7, 24, 53, 63 & 65 registrations as well as her Life, Health, and Variable licenses for insurance. Karen has earned the industry designations of ChFC® (Chartered Financial Consultant®), CLU® (Chartered Life Underwriter®), and CFS® (Certified Fund Specialist®) and is a member of the Financial Planning Association.