DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Karen Warner
Feed of 09/14/2026
Also filed as Karen A Warner
At current firm
1 y
since Nov 25, 2024
In the industry
22 y
since May 12, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Fifth Third Securities, Inc. BD affiliated currentsince Nov 25, 2024 · Sterling Heights, Mi
- Citizens Securities, Inc. BD affiliatedJun 24, 2019 to Nov 19, 2024 · Clinton Township, Mi
- J.P. Morgan Securities LLC wirehouseFeb 25, 2019 to Jun 19, 2019 · Troy, Mi
- UBS Financial Services Inc. wirehouseJan 5, 2018 to May 15, 2018 · Birmingham, Mi
- Wells Fargo Advisors wirehouseJun 23, 2014 to Dec 19, 2017 · Birmingham, Mi
Moves
a registration end followed by a registration begin elsewhere
- Citizens Securities, Inc. to Fifth Third Securities, Inc.left Nov 19, 2024, registered Nov 25, 2024 (6 days) · Affiliated broker-dealer or bank to another
- J.P. Morgan Securities LLC to Citizens Securities, Inc.left Jun 19, 2019, registered Jun 24, 2019 (5 days) · Wirehouse to affiliated broker-dealer or bank
- UBS Financial Services Inc. to J.P. Morgan Securities LLCleft May 15, 2018, registered Feb 25, 2019 (286 days) · Wirehouse to wirehouse
- Wells Fargo Advisors to UBS Financial Services Inc.left Dec 19, 2017, registered Jan 5, 2018 (17 days) · Wirehouse to wirehouse
Signals
- Karen Warner left Citizens Securities, Inc. for Fifth Third Securities, Inc. (registered 2024-11-25)Nov 19, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address