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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

KAREN WARNER LEMAY

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STUART, FL

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Search this name across graphsid dfx:ria:933a5142-433f-dfc5-5454-d75f6119a274

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Jan 29, 2001
First registration: Nov 21, 2001
Dual registered: yes, broker-dealer
Other names: KAREN MARIE WARNER|KAREN WARNER DIMMOCK|KAREN WARNER LEMAY|Karen Lemay
IAPD individual key: 1826413

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 30, 2017	n/a	yes	STUART, FL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Aug 12, 2013	Jul 6, 2017	no	BOCA RATON, FL\|STUART, FL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jul 26, 2011	Aug 13, 2013	no	STUART, FL	Previous registration
15430 ENDEAVOUR DRIVE, INC.	n/a	Aug 2, 2010	Feb 3, 2011	no	JUPITER, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 8, 2009	no	STUART, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 21, 2001	Jun 1, 2009	no	STUART, FL\|STUART, FL\|STUART, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 6, 2017	Jun 30, 2017	-6	Firm change	Wirehouse to wirehouse
PNC WEALTH MANAGEMENT	WELLS FARGO ADVISORS	Aug 13, 2013	Aug 12, 2013	-1	Firm change	Other
15430 ENDEAVOUR DRIVE, INC.	PNC WEALTH MANAGEMENT	Feb 3, 2011	Jul 26, 2011	173	Firm change	Other
MORGAN STANLEY	15430 ENDEAVOUR DRIVE, INC.	Oct 8, 2009	Aug 2, 2010	298	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:7691:FL:2017-07-06	Jul 6, 2017	Jun 30, 2017	STUART, FL	Firm change

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 30, 2017 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 12, 2013 to Jul 6, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 26, 2011 to Aug 13, 2013factForm ADV
→ 15430 ENDEAVOUR DRIVE, INC.Registered adviserregistration: previous registration
Aug 2, 2010 to Feb 3, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 8, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 21, 2001 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.